0001209191-19-030503.txt : 20190516 0001209191-19-030503.hdr.sgml : 20190516 20190516172116 ACCESSION NUMBER: 0001209191-19-030503 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190514 FILED AS OF DATE: 20190516 DATE AS OF CHANGE: 20190516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aker Christopher Ray CENTRAL INDEX KEY: 0001762611 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35670 FILM NUMBER: 19833363 MAIL ADDRESS: STREET 1: C/O REGULUS THERAPEUTICS INC. STREET 2: 10614 SCIENCE CENTER DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 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: 10628 SCIENCE CENTER DRIVE STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-202-6300 MAIL ADDRESS: STREET 1: 10628 SCIENCE CENTER DRIVE STREET 2: SUITE 100 CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-05-14 0 0001505512 Regulus Therapeutics Inc. RGLS 0001762611 Aker Christopher Ray C/O REGULUS THERAPEUTICS INC. 10628 SCIENCE CENTER DR., #100 SAN DIEGO CA 92121 0 1 0 0 Sr. VP & General Counsel Common Stock 2019-05-14 4 A 0 38512 0.00 A 66259 D Common Stock 2019-05-15 4 S 0 6950 1.4095 D 59309 D Stock Option (Right to Buy) 0.95 2019-05-14 4 A 0 7500 0.00 A 2019-05-14 2029-02-04 Common Stock 7500 7500 D On November 11, 2018, the reporting person was granted Restricted Stock Units in the Company's tender offer. The RSUs vest only upon the achievement of a performance-based milestone. The performance criteria were met, resulting in vesting of the RSUs. Upon achievement of the milestone, 50% of the RSU subject to the milestone immediately vest, with the remaining RSUs vesting quarterly in the 24 months following the vesting commencement date. The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 5/14/2019. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. On February 5, 2019, the reporting person was granted an option to purchase the number of shares of common stock set forth in Box 5. The option vests only upon the achievement of a performance-based milestone. The performance criteria were met, resulting in vesting of the option. Upon achievement of the milestone, 50% of the options subject to the milestone immediately vest, with the remaining options vesting in 24 equal monthly installments following the vesting commencement date. Christopher Aker 2019-05-16