Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Dare Bioscience, Inc.DARE · Entity 7799 | Director | June 30, 2026 | July 02, 2026 |
| FATE THERAPEUTICS INCFATE · Entity 5968 | Director | June 12, 2026 | June 15, 2026 |
| Iambic Therapeutics, Inc.IAM · Entity 184417 | Director · Chairperson of the Board | October 14, 2026 | October 14, 2026 |
| NEUROCRINE BIOSCIENCES INCNBIX · Entity 2655 | Director | May 27, 2026 | May 29, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Dare Bioscience, Inc.
Report date June 30, 2026 · Filed July 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 39,721 |
Reported balance
After 2026-06-30 transaction · row 1
1 source rowRow 1 · 2026-06-30 · Grant · Acquired 38,862 · Balance 39,721 F1: Represents shares underlying restricted stock units ("RSU") granted to the reporting person in lieu of cash compensation for service on the issuer's board of directors and its committees. Each RSU represents a contingent right to receive one share when vested. The RSUs vests on January 4, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares underlying restricted stock units ("RSU") granted to the reporting person in lieu of cash compensation for service on the issuer's board of directors and its committees. Each RSU represents a contingent right to receive one share when vested. The RSUs vests on January 4, 2027.
FATE THERAPEUTICS INC
Report date June 12, 2026 · Filed June 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.06 · Expires 2036-06-12 | Direct | 87,900 |
Reported balance
After 2026-06-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-12 · Grant · Acquired 87,900 · Balance 87,900 F1: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders. F2: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 12, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.
F2: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 12, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.
Iambic Therapeutics, Inc.
Report date October 14, 2026 · Filed October 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2026-10-14 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: Each share of Series B Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date. F2: The shares are held of record by the Rastetter Family Trust dated September 2, 2010, for which Dr. Rastetter serves as a trustee. |
| Series B-2 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2026-10-14 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F3: Each share of Series B-2 Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date. F2: The shares are held of record by the Rastetter Family Trust dated September 2, 2010, for which Dr. Rastetter serves as a trustee. |
| Series B-3 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2026-10-14 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F4: Each share of Series B-3 Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date. F2: The shares are held of record by the Rastetter Family Trust dated September 2, 2010, for which Dr. Rastetter serves as a trustee. |
| Series B-4 Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2026-10-14 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F5: Each share of Series B-4 Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date. F2: The shares are held of record by the Rastetter Family Trust dated September 2, 2010, for which Dr. Rastetter serves as a trustee. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2033-04-17 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2026-10-14 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance Not disclosed F6: Twenty-five percent of the shares subject to the option vested on March 9, 2024 and 1/48th of the shares vest monthly thereafter. |
| Convertible Promissory NotesSEC Table II · derivative / convertible security · Expires 2028-08-14 | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2026-10-14 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance Not disclosed F8: The conversion price is equal to the lower of (i) 85% of the IPO Price (reflecting a 15% discount) and (ii) the price per share implied by a $900.0 million valuation cap. F7: The amount of shares reported assumes the Issuer's initial public offering price per share (the "IPO Price") to be $16.00 per share. F2: The shares are held of record by the Rastetter Family Trust dated September 2, 2010, for which Dr. Rastetter serves as a trustee. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
F2: The shares are held of record by the Rastetter Family Trust dated September 2, 2010, for which Dr. Rastetter serves as a trustee.
F3: Each share of Series B-2 Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
F4: Each share of Series B-3 Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
F5: Each share of Series B-4 Convertible Preferred Stock shall automatically convert into Common Stock on a one-to-one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
F6: Twenty-five percent of the shares subject to the option vested on March 9, 2024 and 1/48th of the shares vest monthly thereafter.
F7: The amount of shares reported assumes the Issuer's initial public offering price per share (the "IPO Price") to be $16.00 per share.
F8: The conversion price is equal to the lower of (i) 85% of the IPO Price (reflecting a 15% discount) and (ii) the price per share implied by a $900.0 million valuation cap.
NEUROCRINE BIOSCIENCES INC
Report date May 27, 2026 · Filed May 29, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restriced Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 2,567 |
Reported balance
After 2026-05-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-27 · Grant · Acquired 2,567 · Balance 2,567 F1: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting. F2: The RSUs will vest in full on May 27, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting.
F2: The RSUs will vest in full on May 27, 2027.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Regulus Therapeutics Inc.
Report date June 25, 2025 · Filed June 27, 2025
Section 16 reporting ended · disclosed 2025-06-27. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy The Rastetter Family Trust | 57,292 |
Reported balance
After 2025-06-25 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2025-06-25 · Other · Disposed 44,264 · Balance 57,292 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F3: Pursuant to the terms of the Merger Agreement, each Share was tendered in exchange for the Offer Price. |
| Common StockSEC Table I · non-derivative | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2025-06-25 · Disposition to issuer · Disposed 57,292 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F4: Pursuant to terms of the Merger Agreement, each restricted stock unit that was subject to vesting or forfeiture conditions that was outstanding immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive (i) an amount in cash (without interest and subject to applicable withholding) equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such restricted stock unit immediately prior to the Effective Time by (B) the Closing Amount, plus (ii) one CVR with respect to each Share subject to such restricted stock unit immediately prior to the Effective Time. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $6.40 | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-06-25 · Disposition to issuer · Disposed 4,650 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $8.80 | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-06-25 · Disposition to issuer · Disposed 2,325 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F6: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option). |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $9.90 | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-06-25 · Disposition to issuer · Disposed 4,000 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F6: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option). |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.70 | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-06-25 · Disposition to issuer · Disposed 9,000 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.45 | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2025-06-25 · Disposition to issuer · Disposed 30,000 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.36 | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2025-06-25 · Disposition to issuer · Disposed 15,000 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.01 | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2025-06-25 · Disposition to issuer · Disposed 30,000 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $2.01 | IndirectBy The Rastetter Family Trust | 0 |
Reported balance
After 2025-06-25 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2025-06-25 · Disposition to issuer · Disposed 60,000 · Balance 0 F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.
F2: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.
F3: Pursuant to the terms of the Merger Agreement, each Share was tendered in exchange for the Offer Price.
F4: Pursuant to terms of the Merger Agreement, each restricted stock unit that was subject to vesting or forfeiture conditions that was outstanding immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive (i) an amount in cash (without interest and subject to applicable withholding) equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such restricted stock unit immediately prior to the Effective Time by (B) the Closing Amount, plus (ii) one CVR with respect to each Share subject to such restricted stock unit immediately prior to the Effective Time.
F5: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.
F6: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option).
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 30, 2026 Filed Jul 2, 2026 20:21 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantCommon stock | 38,862 | $0.00 | $0.00 |
DisclosureSEC source: 0001401914-26-000034 · wk-form4_1783023676.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,721 F1 · shares: Represents shares underlying restricted stock units ("RSU") granted to the reporting person in lieu of cash compensation for service on the issuer's board of directors and its committees. Each RSU represents a contingent right to receive one share when vested. The RSUs vests on January 4, 2027. Read SEC document |
| June 12, 2026 Filed Jun 15, 2026 20:06 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | GrantStock Option (Right to Buy) · Derivative | 87,900 | $0.00 Strike: $2.06 | $0.00 |
DisclosureSEC source: 0001193125-26-271072 · ownership.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,900 Underlying: Common Stock · 87,900 shares Expires 2036-06-12 F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders. F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 12, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors. Read SEC document |
| June 11, 2026 Filed Jun 11, 2026 21:05 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $2.03 | $0.00 |
DisclosureSEC source: 0001205903-26-000005 · wk-form4_1781211925.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,000 Underlying: Common stock · 10,000 shares Expires 2036-06-11 F1 · derivative.exercise_date: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer. Read SEC document |
| May 27, 2026 Filed May 29, 2026 22:02 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | GrantRestriced Stock Unit · Derivative | 2,567 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001205903-26-000004 · wk-form4_1780092129.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,567 Underlying: Common Stock · 2,567 shares Expires not disclosed F1 · security: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting. F2 · derivative.exercise_date: The RSUs will vest in full on May 27, 2027. F2 · derivative.expiration_date: The RSUs will vest in full on May 27, 2027. Read SEC document |
| May 21, 2026 Filed May 21, 2026 23:24 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionRestricted Stock Unit · Derivative | 3,318 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001205903-26-000002 · wk-form4_1779405838.xml · derivative · entry 2 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,318 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting. F3 · derivative.exercise_date: This RSU award was granted to the Reporting Person on May 21, 2025 and is fully vested. F3 · derivative.expiration_date: This RSU award was granted to the Reporting Person on May 21, 2025 and is fully vested. Read SEC document |
| May 21, 2026 Filed May 21, 2026 23:24 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionCommon Stock | 3,318 | $0.00 | $0.00 |
DisclosureSEC source: 0001205903-26-000002 · wk-form4_1779405838.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,678 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: 43,678 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power. Read SEC document |
| May 05, 2026 Filed May 6, 2026 20:00 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | Exercise / conversionStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $1.69 | $0.00 |
DisclosureSEC source: 0001193125-26-208891 · ownership.xml · derivative · entry 4 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2026-05-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The shares subject to the option vested and became exercisable on the date of the 2017 Annual Meeting of Stockholders. Read SEC document |
| May 05, 2026 Filed May 6, 2026 20:00 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | Exercise / conversionCommon Stock | 25,000 | $1.69 | $42,250.00 |
DisclosureSEC source: 0001193125-26-208891 · ownership.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,331 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 05, 2025 Filed Nov 6, 2025 22:25 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionNon-Qualified Stock Option · Derivative | 18,000 | $0.00 Strike: $47.89 | $0.00 |
DisclosureSEC source: 0001205903-25-000005 · wk-form4_1762467929.xml · derivative · entry 3 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,000 shares Expires 2026-05-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option was granted May 20, 2016 and vested in 12 equal monthly installments beginning June 20, 2016. These options were due to expire on May 20, 2026. Read SEC document |
| November 05, 2025 Filed Nov 6, 2025 22:25 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | SaleCommon Stock | 18,000 | $151.82 | $2,732,689.80 |
DisclosureSEC source: 0001205903-25-000005 · wk-form4_1762467929.xml · nonDerivative · entry 2 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 40,360 F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person on August 6, 2025. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $150.00 to $153.01. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. F3 · balance_after: 40,360 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power. Read SEC document |
| November 05, 2025 Filed Nov 6, 2025 22:25 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionCommon Stock | 18,000 | $47.89 | $862,020.00 |
DisclosureSEC source: 0001205903-25-000005 · wk-form4_1762467929.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 58,360 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 09, 2025 Filed Jul 10, 2025 20:05 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantStock Option (right to buy) · Derivative | 4,500 | $0.00 Strike: $2.44 | $0.00 |
DisclosureSEC source: 0001401914-25-000040 · wk-form4_1752177952.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,500 Underlying: Common stock · 4,500 shares Expires 2035-07-09 F1 · derivative.exercise_date: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer. Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option · Derivative | 60,000 | Not disclosed Strike: $2.01 | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 10 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires not disclosed F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option · Derivative | 30,000 | Not disclosed Strike: $2.01 | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 9 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires not disclosed F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option · Derivative | 15,000 | Not disclosed Strike: $1.36 | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 8 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires not disclosed F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option · Derivative | 30,000 | Not disclosed Strike: $1.45 | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 7 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires not disclosed F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option · Derivative | 9,000 | Not disclosed Strike: $2.70 | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 6 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 Underlying: Common Stock · 9,000 shares Expires not disclosed F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option · Derivative | 4,000 | Not disclosed Strike: $9.90 | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 5 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 Underlying: Common Stock · 4,000 shares Expires not disclosed F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F6 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option). F6 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option). F6 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option). Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option · Derivative | 2,325 | Not disclosed Strike: $8.80 | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 4 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 Underlying: Common Stock · 2,325 shares Expires not disclosed F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F6 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option). F6 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option). F6 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option). Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option · Derivative | 4,650 | Not disclosed Strike: $6.40 | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 3 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 Underlying: Common Stock · 4,650 shares Expires not disclosed F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time. Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerCommon Stock | 57,292 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · nonDerivative · entry 2 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F4 · price: Pursuant to terms of the Merger Agreement, each restricted stock unit that was subject to vesting or forfeiture conditions that was outstanding immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive (i) an amount in cash (without interest and subject to applicable withholding) equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such restricted stock unit immediately prior to the Effective Time by (B) the Closing Amount, plus (ii) one CVR with respect to each Share subject to such restricted stock unit immediately prior to the Effective Time. Read SEC document |
| June 25, 2025 Filed Jun 27, 2025 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | OtherCommon Stock | 44,264 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-25-091036 · ownership.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By The Rastetter Family Trust Disclosed balance after: 57,292 F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share. F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent. F3 · price: Pursuant to the terms of the Merger Agreement, each Share was tendered in exchange for the Offer Price. Read SEC document |
| May 29, 2025 Filed May 30, 2025 20:09 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | GrantStock Option (Right to Buy) · Derivative | 55,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0000950170-25-079717 · ownership.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2035-05-29 F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders. F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 29, 2026 or (ii) the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors. Read SEC document |
| May 22, 2025 Filed May 22, 2025 22:15 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionRestricted Stock Unit · Derivative | 2,869 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000914475-25-000134 · wk-form4_1747952144.xml · derivative · entry 3 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,869 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting. F4 · derivative.exercise_date: This RSU award was granted to the Reporting Person on May 22, 2024 and is fully vested. F4 · derivative.expiration_date: This RSU award was granted to the Reporting Person on May 22, 2024 and is fully vested. Read SEC document |
| May 22, 2025 Filed May 22, 2025 22:15 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionCommon Stock | 2,869 | $0.00 | $0.00 |
DisclosureSEC source: 0000914475-25-000134 · wk-form4_1747952144.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,360 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: 40,360 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power. Read SEC document |
| May 21, 2025 Filed May 22, 2025 22:15 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | GrantRestricted Stock Unit · Derivative | 3,318 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000914475-25-000134 · wk-form4_1747952144.xml · derivative · entry 2 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,318 Underlying: Common Stock · 3,318 shares Expires not disclosed F2 · security: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting. F3 · derivative.exercise_date: The RSUs will vest in full on May 21, 2026. F3 · derivative.expiration_date: The RSUs will vest in full on May 21, 2026. Read SEC document |
| May 05, 2025 Filed May 7, 2025 23:05 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionNon-Qualified Stock Option · Derivative | 30,000 | $0.00 Strike: $42.76 | $0.00 |
DisclosureSEC source: 0000914475-25-000103 · wk-form4_1746659129.xml · derivative · entry 3 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2025-05-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option was granted May 28, 2015 and vested in 12 equal monthly installments beginning June 28, 2015. These options were due to expire on May 28, 2025. Read SEC document |
| May 05, 2025 Filed May 7, 2025 23:05 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | SaleCommon Stock | 30,000 | $110.20 | $3,305,952.00 |
DisclosureSEC source: 0000914475-25-000103 · wk-form4_1746659129.xml · nonDerivative · entry 2 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 37,491 F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person on June 14, 2024. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $108.13 to $111.16. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. F3 · balance_after: 37,491 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power. Read SEC document |
| May 05, 2025 Filed May 7, 2025 23:05 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionCommon Stock | 30,000 | $42.76 | $1,282,800.00 |
DisclosureSEC source: 0000914475-25-000103 · wk-form4_1746659129.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 67,491 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 30, 2025 Filed Apr 30, 2025 20:30 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock | 62,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-25-061111 · ownership.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · The Rastetter Family Trust Disclosed balance after: 101,556 F1 · shares: On April 30, 2025, the Reporting Person was granted 62,500 Restricted Stock Units (the "Award"). The Award vests in equal monthly installments over the 12 months from the date of grant. Read SEC document |
| August 15, 2024 Filed Aug 16, 2024 21:00 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | SaleCommon Stock | 14,250 | $146.69 | $2,090,332.50 |
DisclosureSEC source: 0000914475-24-000197 · wk-form4_1723842044.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,491 F1 · price: The Reporting Person contributed Issuer common stock to an exchange fund for shares of the exchange fund. The Issuer common stock was valued at $146.69 per share for the purpose of determining the number of shares of the exchange fund issuable to the Reporting Person. F2 · balance_after: All of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power. Read SEC document |
| June 07, 2024 Filed Jun 11, 2024 20:35 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $3.68 | $0.00 |
DisclosureSEC source: 0000950170-24-071970 · ownership.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2034-06-07 F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders. F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors. Read SEC document |
| June 05, 2024 Filed Jun 7, 2024 21:15 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001493152-24-023179 · ownership.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common stock · 40,000 shares Expires 2034-06-05 F1 · derivative.exercise_date: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer. Read SEC document |
| May 22, 2024 Filed May 23, 2024 22:51 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | GrantRestricted Stock Unit · Derivative | 2,869 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000914475-24-000158 · wk-form4_1716504649.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,869 Underlying: Common Stock · 2,869 shares Expires not disclosed F1 · security: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting. F2 · derivative.exercise_date: The RSUs will vest in full on May 22, 2025. F2 · derivative.expiration_date: The RSUs will vest in full on May 22, 2025. Read SEC document |
| May 20, 2024 Filed May 21, 2024 20:24 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0000950170-24-062936 · ownership.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Rastetter Family Trust Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2034-05-19 F1 · derivative.exercise_date: The options will vest ratably over the following twelve months such that the option will be fully vested one year after the date of grant or on the date of the Company's next annual shareholder meeting, whichever occurs first, subject to the Reporting Person's continuous service. Read SEC document |
| May 16, 2024 Filed May 17, 2024 20:37 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0000950170-24-061744 · ownership.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · Rastetter Family Trust Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2034-05-15 F1 · derivative.exercise_date: Pursuant to the Company's Non Employee Director's Compensation policy, the options are automatically granted on the date of the Company's Annual Meeting of Stockholders and will vest ratably over the following twelve months such that the option will be fully vested one year after the date of grant or on the date of the Company's next annual stockholder meeting, whichever occurs first, subject to the Reporting Person's continuous service. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 23:26 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionNon-Qualified Stock Option · Derivative | 20,000 | $12.98 Strike: $12.98 | $259,600.00 |
DisclosureSEC source: 0000914475-24-000006 · wk-form4_1704410754.xml · derivative · entry 3 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires 2024-05-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option was granted May 22, 2014 and vested in 12 equal monthly installments beginning June 22, 2014. These options will expire ten years from the date of grant on May 22, 2024. Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 23:26 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | SaleCommon Stock | 11,044 | $131.47 | $1,451,927.07 |
DisclosureSEC source: 0000914475-24-000006 · wk-form4_1704410754.xml · nonDerivative · entry 2 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 51,741 F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person on May 31, 2023. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $130.76 to $133.33. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. F3 · balance_after: 42,785 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power Read SEC document |
| January 02, 2024 Filed Jan 4, 2024 23:26 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionCommon Stock | 20,000 | $12.98 | $259,600.00 |
DisclosureSEC source: 0000914475-24-000006 · wk-form4_1704410754.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 62,785 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 10, 2023 Filed Aug 14, 2023 20:31 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.36 | $0.00 |
DisclosureSEC source: 0001209191-23-045639 · doc4.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · The Rastetter Family Trust Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2033-08-09 F1 · derivative.exercise_date: The options will vest ratably over the following twelve months such that the option will be fully vested one year after the date of grant, subject to the Reporting Person's continuous service. Read SEC document |
| June 21, 2023 Filed Jun 22, 2023 01:39 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantStock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $0.96 | $0.00 |
DisclosureSEC source: 0001401914-23-000028 · wk-form4_1687397979.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common stock · 40,000 shares Expires 2033-06-21 F1 · derivative.exercise_date: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer. Read SEC document |
| June 13, 2023 Filed Jun 13, 2023 20:53 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $1.45 | $0.00 |
DisclosureSEC source: 0001209191-23-036777 · doc4.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · The Rastetter Family Trust Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2033-06-12 F1 · derivative.exercise_date: Pursuant to the Company's Non Employee Director's Compensation policy, the options are automatically granted on the date of the Company's Annual Meeting of Stockholders and will vest ratably over the following twelve months such that the option will be fully vested one year after the date of grant or on the date of the Company's next annual stockholder meeting, whichever occurs first, subject to the Reporting Person's continuous service. Read SEC document |
| June 06, 2023 Filed Jun 7, 2023 20:13 UTC | FATE THERAPEUTICS INC FATE · Entity 5968 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $5.52 | $0.00 |
DisclosureSEC source: 0001209191-23-035062 · doc4.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2033-06-06 F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders. F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 6, 2024 or (ii) the date of the Issuer's 2024 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors. Read SEC document |
| May 17, 2023 Filed May 19, 2023 21:21 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | GrantNon-Qualified Stock Option · Derivative | 8,579 | $0.00 Strike: $95.27 | $0.00 |
DisclosureSEC source: 0001209191-23-031119 · doc4.xml · derivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,579 Underlying: Common Stock · 8,579 shares Expires 2033-05-17 F1 · derivative.exercise_date: Option vests in 12 monthly installments beginning June 17, 2023. Read SEC document |
| May 01, 2023 Filed May 3, 2023 21:34 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionNon-Qualified Stock Option · Derivative | 7,625 | $12.71 Strike: $12.71 | $96,913.75 |
DisclosureSEC source: 0001209191-23-027095 · doc4.xml · derivative · entry 3 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,625 shares Expires 2023-05-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option was granted May 23, 2013 and vested in 12 equal monthly installments beginning June 23, 2013. Read SEC document |
| May 01, 2023 Filed May 3, 2023 21:34 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | SaleCommon Stock | 4,300 | $101.43 | $436,135.24 |
DisclosureSEC source: 0001209191-23-027095 · doc4.xml · nonDerivative · entry 2 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 42,785 F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted on May 19, 2022. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan. F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $100.87 to $101.84. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. F3 · balance_after: 34,022 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power. Read SEC document |
| May 01, 2023 Filed May 3, 2023 21:34 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionCommon Stock | 7,625 | $12.71 | $96,913.75 |
DisclosureSEC source: 0001209191-23-027095 · doc4.xml · nonDerivative · entry 1 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 47,085 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| April 21, 2023 Filed Apr 21, 2023 22:58 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionNon-Qualified Stock Option · Derivative | 10,765 | $12.71 Strike: $12.71 | $136,823.15 |
DisclosureSEC source: 0001209191-23-025273 · doc4.xml · derivative · entry 6 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 7,625 Underlying: Common Stock · 10,765 shares Expires 2023-05-23 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The option was granted May 23, 2013 and vested in 12 equal monthly installments beginning June 23, 2013. Read SEC document |
| April 21, 2023 Filed Apr 21, 2023 22:58 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | SaleCommon Stock | 6,034 | $105.04 | $633,786.62 |
DisclosureSEC source: 0001209191-23-025273 · doc4.xml · nonDerivative · entry 4 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 39,460 F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted on May 19, 2022. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan. F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $105.00 to $105.11. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range. F4 · ownership.direct: 34,022 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power. Read SEC document |
| April 21, 2023 Filed Apr 21, 2023 22:58 UTC | NEUROCRINE BIOSCIENCES INC NBIX · Entity 2655 | Exercise / conversionCommon Stock | 10,765 | $12.71 | $136,823.15 |
DisclosureSEC source: 0001209191-23-025273 · doc4.xml · nonDerivative · entry 3 RASTETTER WILLIAM H · CIK 0001205903 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 45,494 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.