SEC Form 4 · accession 0001209191-15-064713
Regulus Therapeutics Inc. · RGLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stelios Papadopoulos
Director
Period of report
Aug 7, 2015
Accepted (ET)
Aug 7, 2015 · 6:05 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 Stock | Aug 7, 2015 | M | 17,500 | $0.38 | A | 167,500 | D | |
| Common Stock | Aug 7, 2015 | M | 17,500 | $1.74 | A | 185,000 | D | |
| Common Stock | Aug 7, 2015 | M | 15,677 | $2.66 | A | 200,677 | D |
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)F1 | $0.38 | Aug 7, 2015 | M | 17,500 | D | — | Dec 1, 2019 | Common Stock | 17,500 | 0 | D |
| Stock Option (Right to Buy)F1 | $1.74 | Aug 7, 2015 | M | 17,500 | D | — | Jan 2, 2021 | Common Stock | 17,500 | 0 | D |
| Stock Option (Right to Buy)F2 | $2.66 | Aug 7, 2015 | M | 15,677 | D | — | Feb 8, 2022 | Common Stock | 15,677 | 1,823 | D |
Explanation of responses
- F1The shares subject to the option are fully vested.
- F225% of the shares vested on February 9, 2013 and the remainder of the shares vest in equal installments on a monthly basis thereafter, such that the option is fully vested on February 9, 2016.