0001209191-18-058350.txt : 20181113 0001209191-18-058350.hdr.sgml : 20181113 20181113173537 ACCESSION NUMBER: 0001209191-18-058350 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181112 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BALTIMORE DAVID CENTRAL INDEX KEY: 0001185858 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35670 FILM NUMBER: 181179390 MAIL ADDRESS: STREET 1: AMGEN INC. STREET 2: ONE AMGEN CENTER DRIVE CITY: THOUSAND OAKS STATE: CA ZIP: 91320-1799 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Regulus Therapeutics Inc. CENTRAL INDEX KEY: 0001505512 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 264738379 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10614 SCIENCE CENTER DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-202-6300 MAIL ADDRESS: STREET 1: 10614 SCIENCE CENTER DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-11-12 0 0001505512 Regulus Therapeutics Inc. RGLS 0001185858 BALTIMORE DAVID C/O REGULUS THERAPEUTICS INC. 10614 SCIENCE CENTER DRIVE SAN DIEGO CA 92121 1 0 0 0 Common Stock 2018-11-12 4 A 0 40339 A 44131 D Stock Option (Right to Buy) 4.56 2018-11-12 4 D 0 10625 D 2019-01-01 Common Stock 10625 0 D Stock Option (Right to Buy) 4.56 2018-11-12 4 D 0 1875 D 2019-01-01 Common Stock 1875 0 D Stock Option (Right to Buy) 4.56 2018-11-12 4 D 0 625 D 2019-12-01 Common Stock 625 0 D Stock Option (Right to Buy) 4.56 2018-11-12 4 D 0 1458 D 2019-12-01 Common Stock 1458 0 D Stock Option (Right to Buy) 20.88 2018-11-12 4 D 0 625 D 2021-01-02 Common Stock 625 0 D Stock Option (Right to Buy) 20.88 2018-11-12 4 D 0 1458 D 2021-01-02 Common Stock 1458 0 D Stock Option (Right to Buy) 31.92 2018-11-12 4 D 0 625 D 2022-02-08 Common Stock 625 0 D Stock Option (Right to Buy) 31.92 2018-11-12 4 D 0 1458 D 2022-02-08 Common Stock 1458 0 D Stock Option (Right to Buy) 111.84 2018-11-12 4 D 0 416 D 2023-06-09 Common Stock 416 0 D Stock Option (Right to Buy) 111.84 2018-11-12 4 D 0 1458 D 2023-06-09 Common Stock 1458 0 D Stock Option (Right to Buy) 74.64 2018-11-12 4 D 0 1458 D 2024-05-21 Common Stock 1458 0 D Stock Option (Right to Buy) 74.64 2018-11-12 4 D 0 416 D 2024-05-21 Common Stock 416 0 D Stock Option (Right to Buy) 120.24 2018-11-12 4 D 0 1458 D 2025-06-08 Common Stock 1458 0 D Stock Option (Right to Buy) 74.40 2018-11-12 4 D 0 3051 D 2026-05-31 Common Stock 3051 0 D Stock Option (Right to Buy) 17.40 2018-11-12 4 D 0 2500 D 2027-05-30 Common Stock 2500 0 D Stock Option (Right to Buy) 8.52 2018-11-12 4 D 0 6250 D 2028-05-15 Common Stock 6250 0 D Stock Option (Right to Buy) 8.76 2018-11-12 4 D 0 4583 D 2028-05-31 Common Stock 4583 0 D On November 12, 2018, the issuer canceled, pursuant to the issuer's option exchange program, the options listed below in Table II. In exchange for the options cancelled, the reporting person received Restricted Stock Units (RSUs) as reported in this Table I. The RSUs vest ratably on a quarterly basis, such that the the RSUs are fully vested one year after the date of grant, subject to the reporting person's continuous service to Regulus through each vesting date. Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. The shares subject to the cancelled option were fully vested. On November 12, 2018, the issuer canceled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received Restricted Stock Units as reported above in Table I. The cancelled option provided for vesting in 12 equal monthly installments commencing on the date of grant. The cancelled option provided for vesting in twelve equally monthly installments, such that the option would be fully vested one year from the date of grant, or the date of the Company's next annual shareholder meeting, whichever occurred first. Christopher Aker, Attorney in Fact 2018-11-13