SEC Form 4 · accession 0001209191-15-035362
Regulus Therapeutics Inc. · RGLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kleanthis G Xanthopoulos
Officer — President and CEO · Director
Period of report
Apr 17, 2015
Accepted (ET)
Apr 21, 2015 · 7:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001505512
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 17, 2015 | M | 73,929 | $0.38 | A | 77,634 | D | |
| Common StockF3 | Apr 17, 2015 | S | 73,929 | $16.9352 | D | 3,705 | D | |
| Common StockF1 | Apr 20, 2015 | M | 66,071 | $0.38 | A | 69,776 | D | |
| Common StockF4 | Apr 20, 2015 | S | 66,071 | $16.8533 | D | 3,705 | D | |
| Common StockF1 | Apr 21, 2015 | M | 60,000 | $0.38 | A | 63,705 | D | |
| Common StockF5 | Apr 21, 2015 | S | 60,000 | $17.733 | D | 3,705 | D | |
| Common Stock | holding | — | — | — | 80,216 | I | By the Xanthopoulos Family Trust dated September 30, 2011 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F6 | $0.38 | Apr 17, 2015 | M | 73,929 | D | — | Feb 8, 2019 | Common Stock | 73,929 | 134,358 | D |
| Stock Option (Right to Buy)F6 | $0.38 | Apr 20, 2015 | M | 66,071 | D | — | Feb 8, 2019 | Common Stock | 66,071 | 68,287 | D |
| Stock Option (Right to Buy)F6 | $0.38 | Apr 21, 2015 | M | 60,000 | D | — | Feb 8, 2019 | Common Stock | 60,000 | 8,287 | D |
Explanation of responses
- F1Includes an aggregate of 3,705 shares of Common Stock acquired by the Reporting Person pursuant to the Issuer's 2012 Employee Stock Purchase Plan, including 1,239 shares acquired on March 10, 2015.
- F2Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted March 16, 2015.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.70 to $17.31 inclusive. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price will be provided.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.45 to $17.41 inclusive. The reporting person undertakes to provide RGLS, any security holder of RGLS, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.43 to $18.30 inclusive. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price will be provided.
- F6The shares subject to the option are fully vested.