SEC Form 4 · accession 0001209191-18-035694
Regulus Therapeutics Inc. · RGLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathryn J Collier
Director
Period of report
Jun 1, 2018
Accepted (ET)
Jun 5, 2018 · 4:28 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 | Jun 5, 2018 | A | 7,695 | $0.74 | A | 7,695 | 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)F2 | $0.73 | Jun 1, 2018 | A | 55,000 | A | — | May 31, 2028 | Common Stock | 55,000 | 55,000 | D |
Explanation of responses
- F1Restricted Stock Units (RSUs) issued in lieu of the additional pro rata 2018 annual retainer and meeting fees of $5,694.44. The RSUs vest on a quarterly basis on the last day of each calendar quarter and are pro rated for the second quarter of 2018 and thereafter vest ratably for the last two remaining calendar quarters in 2018, subject to the reporting person's continuous service to Regulus.
- F2The option will vest in twelve equally monthly installments, such that the option will be fully vested one year from the date of grant, or the date of the Company's 2019 annual shareholder meeting, whichever occurs first.