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