Accession Number: | 0001209191-14-065583 |
Date: | 2014-10-29 |
Issuer: | REGULUS THERAPEUTICS INC. (RGLS) |
Original Submission Date: |
XANTHOPOULOS KLEANTHIS G
C/O REGULUS THERAPEUTICS INC.
3545 JOHN HOPKINS COURT #210
SAN DIEGO, CA 92121
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |