SEC Form 4 · accession 0001209191-19-007774
Regulus Therapeutics Inc. · RGLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel R. Chevallard
Officer — Chief Financial Officer
Period of report
Feb 5, 2019
Accepted (ET)
Feb 6, 2019 · 4:50 pm EST
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 | Feb 5, 2019 | A | 30,000 | $0.95 | A | 34,578 | 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 | $0.95 | Feb 5, 2019 | A | 30,000 | A | — | Feb 4, 2029 | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1Restricted Stock Units which vest ratably on a quarterly basis such that the grant is fully vested on December 31, 2019, subject to the reporting person's continuous service to Regulus through each such vesting date.
- F2The stock option will vest ratably on a monthly basis over a 48 month period subject to the reporting person's continuous service to Regulus through each such vesting date.