Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-14-065583
Date:2014-10-29
Issuer: REGULUS THERAPEUTICS INC. (RGLS)
Original Submission Date:

Reporting Person:

XANTHOPOULOS KLEANTHIS G
C/O REGULUS THERAPEUTICS INC.
3545 JOHN HOPKINS COURT #210 SAN DIEGO, CA 92121

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2014-10-29 M 3,505 a $0.38 5,971 direct
COMMON STOCK 2014-10-29 S 1,400 d $18.66 4,571 direct
COMMON STOCK 2014-10-29 S 2,005 d $19.78 2,566 direct
COMMON STOCK 2014-10-29 S 100 d $20.41 2,466 direct
COMMON STOCK 2014-10-29 0 $0.00 80,216 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 0.38 2014-10-29 deemed execution date M 3,505 (d) 2019-02-08 common stock 3,505 $0.38 448,287 direct
Footnotes
IDfootnote
f1 reported transaction occurred pursuant to a rule 10b5-1 plan adopted august 26, 2013.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $18.25 to $19.07 inclusive. the reporting person undertakes to provide to 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.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $19.40 to $20.40 inclusive. the reporting person undertakes to provide to 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.
f4 the shares subject to the option are fully vested.
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