0001209191-19-061857.txt : 20191226 0001209191-19-061857.hdr.sgml : 20191226 20191226085435 ACCESSION NUMBER: 0001209191-19-061857 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191224 FILED AS OF DATE: 20191226 DATE AS OF CHANGE: 20191226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Witz Pascale CENTRAL INDEX KEY: 0001703723 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35670 FILM NUMBER: 191308446 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 225 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-202-6300 MAIL ADDRESS: STREET 1: 10628 SCIENCE CENTER DRIVE STREET 2: SUITE 225 CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-12-24 0 0001505512 Regulus Therapeutics Inc. RGLS 0001703723 Witz Pascale C/O REGULUS THERAPEUTICS INC. 10628 SCIENCE CENTER DR., #225 SAN DIEGO CA 92121 1 0 0 0 Class A-2 Convertible Preferred Stock 2019-12-24 4 A 0 6770 6.66 A Common Stock 67700 6770 D Common Stock Purchase Warrant (Right to Buy) 0.666 2019-12-24 4 A 0 67700 0.125 A 2019-12-24 2024-12-24 Common Stock 67700 67700 D The shares of Class A-2 Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Class A-2 Convertible Preferred Stock converts into 10 shares of Common Stock. The securities were acquired from the issuer pursuant to a Securities Purchase Agreement dated May 3, 2019. The Securities Purchase Agreement and the issuance of the securities thereunder were approved by the Issuer's Board of Directors and an independent committee thereof. Christopher Aker, Attorney in Fact 2019-12-26