Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIOGEN INC.BIIB · Entity 1675 | Director | June 15, 2022 | June 17, 2022 |
| EXELIXIS, INC.EXEL · Entity 3386 | Director | May 27, 2026 | May 29, 2026 |
| Eucrates Biomedical Acquisition Corp.EUCR · Entity 145040 | Director · 10% owner | November 24, 2020 | November 27, 2020 |
| Ovid Therapeutics Inc.OVID · Entity 5411 | Director | April 07, 2026 | April 09, 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.
BIOGEN INC.
Report date June 15, 2022 · Filed June 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,095 |
Reported balance
After 2022-06-15 transaction · row 1
1 source rowRow 1 · 2022-06-15 · Grant · Acquired 2,255 · Balance 10,095 |
| Common StockSEC Table I · non-derivative | IndirectEsperanza Holdings, LLC | 10,831 |
Reported balance
Holding disclosure · report date 2022-06-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 10,831 |
| Common StockSEC Table I · non-derivative | IndirectStelios Holdings, LLC | 17,375 |
Reported balance
Holding disclosure · report date 2022-06-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 17,375 |
EXELIXIS, INC.
Report date May 27, 2026 · Filed May 29, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,197,595 |
Reported balance
After 2026-05-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-05-27 · Grant · Acquired 8,367 · Balance 1,197,595 F1: Represents restricted stock units ("RSUs") granted to the Reporting Person on the Transaction Date pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. Each RSU is the economic equivalent of one share of Exelixis, Inc. common stock ("Common Stock"). The RSUs will vest as to 100% of the shares subject to the RSU award on May 27, 2027, subject to the Reporting Person's continuous service through that date. F2: Includes 8,367 shares of Common Stock that will be issued to the Reporting Person upon vesting of RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units ("RSUs") granted to the Reporting Person on the Transaction Date pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. Each RSU is the economic equivalent of one share of Exelixis, Inc. common stock ("Common Stock"). The RSUs will vest as to 100% of the shares subject to the RSU award on May 27, 2027, subject to the Reporting Person's continuous service through that date.
F2: Includes 8,367 shares of Common Stock that will be issued to the Reporting Person upon vesting of RSUs.
Eucrates Biomedical Acquisition Corp.
Report date November 24, 2020 · Filed November 27, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | IndirectSee Footnote | 2,619,906 |
Reported balance
After 2020-11-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2020-11-24 · Other · Disposed 255,094 · Balance 2,619,906 F1: This Form 4 reflects the cancellation by the issuer of 255,094 Ordinary Shares, which were automatically surrendered to the issuer for no consideration by the reporting person pursuant to contractual arrangements with the issuer, triggered by the election by the underwriters of the issuer's initial public offering to partially exercise their option to purchase additional units and surrender their right to purchase the remainder of the option units. F2: These shares represent ordinary shares held by the issuer's sponsor, Eucrates LLC. The shares held by the sponsor are beneficially owned by each of Parag Saxena and Stelios Papadopoulos, the issuer's Chief Executive Officer and Chairman, respectively, and the managing members of the sponsor, who have joint voting and dispositive power over the shares held by the sponsor. Mr. Saxena and Mr. Papadopoulos disclaim beneficial ownership over any securities owned by the sponsor in which they do not have any pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reflects the cancellation by the issuer of 255,094 Ordinary Shares, which were automatically surrendered to the issuer for no consideration by the reporting person pursuant to contractual arrangements with the issuer, triggered by the election by the underwriters of the issuer's initial public offering to partially exercise their option to purchase additional units and surrender their right to purchase the remainder of the option units.
F2: These shares represent ordinary shares held by the issuer's sponsor, Eucrates LLC. The shares held by the sponsor are beneficially owned by each of Parag Saxena and Stelios Papadopoulos, the issuer's Chief Executive Officer and Chairman, respectively, and the managing members of the sponsor, who have joint voting and dispositive power over the shares held by the sponsor. Mr. Saxena and Mr. Papadopoulos disclaim beneficial ownership over any securities owned by the sponsor in which they do not have any pecuniary interest.
Ovid Therapeutics Inc.
Report date April 07, 2026 · Filed April 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 217,578 |
Reported balance
After 2026-04-07 transaction · row 1
1 source rowRow 1 · 2026-04-07 · Grant · Acquired 17,578 · Balance 217,578 F1: Represents a restricted stock unit ("RSU") award issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of an annual cash retainer for service on the Issuer's Board of Directors in the aggregate amount of $45,000. The RSUs vest 25% upon grant and 25% on each of June 30, 2026, September 30, 2026 and December 31, 2026, subject to the Reporting Person's continuous service through each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a restricted stock unit ("RSU") award issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of an annual cash retainer for service on the Issuer's Board of Directors in the aggregate amount of $45,000. The RSUs vest 25% upon grant and 25% on each of June 30, 2026, September 30, 2026 and December 31, 2026, subject to the Reporting Person's continuous service through each such vesting date.
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 | Direct | 0 |
Ending reported balance
After 2025-06-25 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2025-06-25 · Other · Disposed 976,253 · Balance 64,635 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, these Shares was tendered in exchange for the Offer Price. Row 2 · 2025-06-25 · Disposition to issuer · Disposed 64,635 · 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 the terms of the Merger Agreement, these Shares were converted into the right to receive the Offer Price. Additionally, 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 | Direct | 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 | Direct | 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 | Direct | 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 | Direct | 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 | Direct | 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 | Direct | 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 | Direct | 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 | Direct | 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. |
| Common Stock Purchase Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.46 | Direct | 0 |
Reported balance
After 2025-06-25 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2025-06-25 · Disposition to issuer · Disposed 59,514 · 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. F7: Pursuant to the Merger Agreement, the Reporting Person elected to receive $2.95 per warrant, an amount equal to the Black Scholes Value (as defined in the Merger Agreement) for the warrants reported herein. |
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, these Shares was tendered in exchange for the Offer Price.
F4: Pursuant to the terms of the Merger Agreement, these Shares were converted into the right to receive the Offer Price. Additionally, 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).
F7: Pursuant to the Merger Agreement, the Reporting Person elected to receive $2.95 per warrant, an amount equal to the Black Scholes Value (as defined in the Merger Agreement) for the warrants reported herein.
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 |
|---|---|---|---|---|---|---|
| May 11, 2021 Filed May 14, 2021 00:32 UTC | EXELIXIS, INC. EXEL · Entity 3386 | SaleCommon Stock | 10,222 | $24.95 | $255,038.90 |
DisclosureSEC source: 0000939767-21-000049 · wf-form4_162095233683684.xml · nonDerivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,218,675 F2 · price: Represents the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $24.93 to $24.97. Reporting Person undertakes to provide Exelixis, Inc., any security holder of Exelixis, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2 to this Form 4. Read SEC document |
| May 11, 2021 Filed May 14, 2021 00:32 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionCommon Stock | 40,000 | $6.30 | $252,000.00 |
DisclosureSEC source: 0000939767-21-000049 · wf-form4_162095233683684.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,228,897 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: Includes 15,538 shares of Exelixis, Inc. common stock ("Common Stock") that will be issued to the Reporting Person upon vesting of restricted stock units. Read SEC document |
| December 04, 2020 Filed Dec 7, 2020 21:21 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock Purchase Warrant (Right to Buy) · Derivative | 595,146 | $0.13 Strike: $0.75 | $74,393.25 |
DisclosureSEC source: 0001209191-20-061939 · doc4.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 595,146 Underlying: Common Stock · 595,146 shares Expires 2025-12-04 Read SEC document |
| December 04, 2020 Filed Dec 7, 2020 21:21 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock | 793,528 | $0.63 | $500,001.99 |
DisclosureSEC source: 0001209191-20-061939 · doc4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,986,729 Read SEC document |
| December 04, 2020 Filed Jan 28, 2021 01:16 UTC Amendment | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock | 793,528 | $0.63 | $500,001.99 |
DisclosureSEC source: 0001209191-21-005768 · doc4a.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,839,707 F1 · balance_after: This Form 4 is being amended to correct the number of securities beneficially owned following the reported transaction. Read SEC document |
| November 24, 2020 Filed Nov 27, 2020 21:05 UTC | Eucrates Biomedical Acquisition Corp. EUCR · Entity 145040 | OtherOrdinary Shares | 255,094 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-130016 · tm2037212-2_4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,619,906 F1 · kind: This Form 4 reflects the cancellation by the issuer of 255,094 Ordinary Shares, which were automatically surrendered to the issuer for no consideration by the reporting person pursuant to contractual arrangements with the issuer, triggered by the election by the underwriters of the issuer's initial public offering to partially exercise their option to purchase additional units and surrender their right to purchase the remainder of the option units. F1 · price: This Form 4 reflects the cancellation by the issuer of 255,094 Ordinary Shares, which were automatically surrendered to the issuer for no consideration by the reporting person pursuant to contractual arrangements with the issuer, triggered by the election by the underwriters of the issuer's initial public offering to partially exercise their option to purchase additional units and surrender their right to purchase the remainder of the option units. F2 · ownership.nature: These shares represent ordinary shares held by the issuer's sponsor, Eucrates LLC. The shares held by the sponsor are beneficially owned by each of Parag Saxena and Stelios Papadopoulos, the issuer's Chief Executive Officer and Chairman, respectively, and the managing members of the sponsor, who have joint voting and dispositive power over the shares held by the sponsor. Mr. Saxena and Mr. Papadopoulos disclaim beneficial ownership over any securities owned by the sponsor in which they do not have any pecuniary interest. Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 20:40 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 23,250 | $0.00 Strike: $0.88 | $0.00 |
DisclosureSEC source: 0001209191-20-037954 · doc4.xml · derivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,250 Underlying: Common Stock · 23,250 shares Expires 2030-06-16 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 03, 2020 Filed Jun 5, 2020 21:20 UTC | BIOGEN INC. BIIB · Entity 1675 | GrantCommon Stock | 1,470 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-20-019030 · form4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,565 Read SEC document |
| May 21, 2020 Filed May 23, 2020 01:05 UTC | EXELIXIS, INC. EXEL · Entity 3386 | GrantCommon Stock | 15,538 | $0.00 | $0.00 |
DisclosureSEC source: 0000939767-20-000097 · wf-form4_159019588550745.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,188,897 F1 · security: Represents shares of Exelixis, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Exelixis, Inc. common stock. F2 · date: The restricted stock units were granted to the Reporting Person on the Transaction Date pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The restricted stock units will vest as to 100% of the shares subject to the restricted stock unit award on May 21, 2021, subject to the Reporting Person's continuous service through that date. F3 · balance_after: Includes 25,855 shares of Exelixis, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Read SEC document |
| May 13, 2020 Filed May 16, 2020 00:18 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionOption (right to buy) · Derivative | 120,791 | $0.00 Strike: $5.82 | $0.00 |
DisclosureSEC source: 0000939767-20-000081 · wf-form4_158958827479443.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 120,791 shares Expires 2020-12-05 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_date: The option, representing the right to purchase a total of 120,791 shares of Exelixis, Inc. common stock, became fully exercisable on December 6, 2013. Read SEC document |
| May 13, 2020 Filed May 16, 2020 00:18 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionCommon Stock | 120,791 | $5.82 | $703,003.62 |
DisclosureSEC source: 0000939767-20-000081 · wf-form4_158958827479443.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,173,359 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: Includes 10,317 shares of Exelixis, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Read SEC document |
| May 08, 2020 Filed May 9, 2020 01:18 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionOption (right to buy) · Derivative | 15,000 | $0.00 Strike: $5.92 | $0.00 |
DisclosureSEC source: 0000939767-20-000074 · wf-form4_158898709740775.xml · derivative · entry 5 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2020-05-18 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, representing the right to purchase a total of 15,000 shares of Exelixis, Inc. common stock, became fully exercisable on May 19, 2010. Read SEC document |
| May 08, 2020 Filed May 9, 2020 01:18 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionOption (right to buy) · Derivative | 30,000 | $0.00 Strike: $4.58 | $0.00 |
DisclosureSEC source: 0000939767-20-000074 · wf-form4_158898709740775.xml · derivative · entry 4 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2020-05-22 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. F3 · derivative.exercise_date: The option, representing the right to purchase a total of 30,000 shares of Exelixis, Inc. common stock, became fully exercisable on May 23, 2013. Read SEC document |
| May 08, 2020 Filed May 9, 2020 01:18 UTC | EXELIXIS, INC. EXEL · Entity 3386 | SaleCommon Stock | 45,000 | $25.84 | $1,162,800.00 |
DisclosureSEC source: 0000939767-20-000074 · wf-form4_158898709740775.xml · nonDerivative · entry 3 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,052,568 F2 · price: Represents the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $25.78 to $25.93. Reporting Person undertakes to provide Exelixis, Inc., any security holder of Exelixis, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2 to this Form 4. Read SEC document |
| May 08, 2020 Filed May 9, 2020 01:18 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionCommon Stock | 15,000 | $5.92 | $88,800.00 |
DisclosureSEC source: 0000939767-20-000074 · wf-form4_158898709740775.xml · nonDerivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,097,568 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 |
| May 08, 2020 Filed May 9, 2020 01:18 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionCommon Stock | 30,000 | $4.58 | $137,400.00 |
DisclosureSEC source: 0000939767-20-000074 · wf-form4_158898709740775.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,082,568 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: Includes 10,317 shares of Exelixis, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 21:59 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | ConversionClass A-2 Convertible Preferred Stock · Derivative | 84,632 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-006429 · doc4.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 846,320 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. F1 · derivative.exercise_price: The shares of Class A-2 Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Class A-2 Convertible Preferred Stock converts into 10 shares of Common Stock. F1 · derivative.exercise_date: The shares of Class A-2 Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Class A-2 Convertible Preferred Stock converts into 10 shares of Common Stock. F1 · derivative.expiration_date: The shares of Class A-2 Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Class A-2 Convertible Preferred Stock converts into 10 shares of Common Stock. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 21:59 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | ConversionCommon Stock | 846,320 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-006429 · doc4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,039,521 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 · price: The shares of Class A-2 Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Class A-2 Convertible Preferred Stock converts into 10 shares of Common Stock. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 13:56 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock Purchase Warrant (Right to Buy) · Derivative | 846,320 | $0.13 Strike: $0.67 | $105,790.00 |
DisclosureSEC source: 0001209191-19-061858 · doc4.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 846,320 Underlying: Common Stock · 846,320 shares Expires 2024-12-24 F2 · kind: The securities were acquired from the issuer pursuant to a Securities Purchase Agreement dated May 3, 2019. The Securities Purchase Agreement and the issuance of the securities thereunder were approved by the Issuer's Board of Directors and an independent committee thereof. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 13:56 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantClass A-2 Convertible Preferred Stock · Derivative | 84,632 | $6.66 | $563,649.12 |
DisclosureSEC source: 0001209191-19-061858 · doc4.xml · derivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,632 Underlying: Common Stock · 846,320 shares Expires not disclosed F1 · derivative.exercise_price: The shares of Class A-2 Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Class A-2 Convertible Preferred Stock converts into 10 shares of Common Stock. F2 · kind: The securities were acquired from the issuer pursuant to a Securities Purchase Agreement dated May 3, 2019. The Securities Purchase Agreement and the issuance of the securities thereunder were approved by the Issuer's Board of Directors and an independent committee thereof. F1 · derivative.exercise_date: The shares of Class A-2 Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Class A-2 Convertible Preferred Stock converts into 10 shares of Common Stock. F1 · derivative.expiration_date: The shares of Class A-2 Convertible Preferred Stock have no expiration date and are convertible at any time at the election of the holder into shares of Common Stock without payment of further consideration. Each share of Class A-2 Convertible Preferred Stock converts into 10 shares of Common Stock. Read SEC document |
| October 10, 2019 Filed Oct 15, 2019 20:45 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 46,500 | $0.00 Strike: $0.64 | $0.00 |
DisclosureSEC source: 0001209191-19-053167 · doc4.xml · derivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,500 Underlying: Common Stock · 46,500 shares Expires 2029-10-09 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 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 |
| June 19, 2019 Filed Jun 20, 2019 21:54 UTC | BIOGEN INC. BIIB · Entity 1675 | GrantCommon Stock | 1,905 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-022424 · form4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,095 Read SEC document |
| May 23, 2019 Filed May 25, 2019 00:43 UTC | EXELIXIS, INC. EXEL · Entity 3386 | GrantOption (right to buy) · Derivative | 20,634 | $0.00 Strike: $19.77 | $0.00 |
DisclosureSEC source: 0000939767-19-000134 · wf-form4_155874500148985.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,634 Underlying: Common Stock · 20,634 shares Expires 2026-05-22 F4 · derivative.exercise_date: Option granted pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The option is exercisable immediately, subject to repurchase provisions, and will vest as to 100% of the shares subject to the option on the first anniversary of the date of grant, subject to the Reporting Person's continuous service through such date. Read SEC document |
| May 23, 2019 Filed May 25, 2019 00:43 UTC | EXELIXIS, INC. EXEL · Entity 3386 | GrantCommon Stock | 10,317 | $0.00 | $0.00 |
DisclosureSEC source: 0000939767-19-000134 · wf-form4_155874500148985.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,052,568 F1 · security: Represents shares of Exelixis, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Exelixis, Inc. common stock. F2 · date: The restricted stock units were granted to the Reporting Person on the Transaction Date pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The restricted stock units will vest as to 100% of the shares subject to the restricted stock unit award on May 23, 2020, subject to the Reporting Person's continuous service through that date. F3 · balance_after: Includes 10,317 shares of Exelixis, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Read SEC document |
| May 07, 2019 Filed May 8, 2019 21:13 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock Purchase Warrant (Right to Buy) · Derivative | 370,370 | $0.13 Strike: $1.08 | $46,296.25 |
DisclosureSEC source: 0001209191-19-028275 · doc4.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,370 Underlying: Common Stock · 370,370 shares Expires 2024-05-07 Read SEC document |
| May 07, 2019 Filed May 8, 2019 21:13 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock | 370,370 | $1.08 | $399,999.60 |
DisclosureSEC source: 0001209191-19-028275 · doc4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,189,872 Read SEC document |
| May 07, 2019 Filed May 21, 2019 20:46 UTC Amendment | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock Purchase Warrant (Right to Buy) · Derivative | 370,370 | $0.13 Strike: $1.08 | $46,296.25 |
DisclosureSEC source: 0001209191-19-031767 · doc4a.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,370 Underlying: Common Stock · 370,370 shares Expires 2024-05-07 F1 · kind: This Form 4 is being amended to correct the transaction code. The securities were acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 3, 2019 with a closing date of May 7, 2019. The Securities Purchase Agreement and the issuance of the securities thereunder was approved by the Issuer's Board of Directors and an independent committee thereof. Read SEC document |
| May 07, 2019 Filed May 21, 2019 20:46 UTC Amendment | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock | 370,370 | $1.08 | $399,999.60 |
DisclosureSEC source: 0001209191-19-031767 · doc4a.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,189,872 F1 · kind: This Form 4 is being amended to correct the transaction code. The securities were acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 3, 2019 with a closing date of May 7, 2019. The Securities Purchase Agreement and the issuance of the securities thereunder was approved by the Issuer's Board of Directors and an independent committee thereof. Read SEC document |
| February 21, 2019 Filed Feb 23, 2019 00:35 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionOption (right to buy) · Derivative | 15,000 | $0.00 Strike: $4.57 | $0.00 |
DisclosureSEC source: 0000939767-19-000048 · wf-form4_155088213177229.xml · derivative · entry 5 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2019-05-23 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, representing the right to purchase a total of 15,000 shares of Exelixis, Inc. common stock, became fully exercisable on May 24, 2012. Read SEC document |
| February 21, 2019 Filed Feb 23, 2019 00:35 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionOption (right to buy) · Derivative | 11,250 | $0.00 Strike: $4.16 | $0.00 |
DisclosureSEC source: 0000939767-19-000048 · wf-form4_155088213177229.xml · derivative · entry 4 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,250 shares Expires 2019-05-13 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 option, representing the right to purchase a total of 11,250 shares of Exelixis, Inc. common stock, became fully exercisable on May 14, 2009. Read SEC document |
| February 21, 2019 Filed Feb 23, 2019 00:35 UTC | EXELIXIS, INC. EXEL · Entity 3386 | SaleCommon Stock | 26,250 | $21.25 | $557,812.50 |
DisclosureSEC source: 0000939767-19-000048 · wf-form4_155088213177229.xml · nonDerivative · entry 3 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,042,251 F2 · price: Represents the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $21.24 to $21.28. Reporting Person undertakes to provide Exelixis, Inc., any security holder of Exelixis, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2 to this Form 4. Read SEC document |
| February 21, 2019 Filed Feb 23, 2019 00:35 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionCommon Stock | 15,000 | $4.57 | $68,550.00 |
DisclosureSEC source: 0000939767-19-000048 · wf-form4_155088213177229.xml · nonDerivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,068,501 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 |
| February 21, 2019 Filed Feb 23, 2019 00:35 UTC | EXELIXIS, INC. EXEL · Entity 3386 | Exercise / conversionCommon Stock | 11,250 | $4.16 | $46,800.00 |
DisclosureSEC source: 0000939767-19-000048 · wf-form4_155088213177229.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,053,501 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: Includes 7,937 shares of Exelixis, Inc. common stock that will be issued to the Reporting Person upon vesting of restricted stock units. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 21:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock | 50,000 | $1.09 | $54,570.00 |
DisclosureSEC source: 0001209191-19-000242 · doc4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 835,073 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.04 to $1.12 inclusive. The reporting person undertakes to provide to RGLS, any security holder of RGLS, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| December 27, 2018 Filed Dec 28, 2018 21:21 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock | 26,401 | $1.04 | $27,459.68 |
DisclosureSEC source: 0001209191-18-064319 · doc4.xml · nonDerivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 785,073 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.00 to $1.04 inclusive. The reporting person undertakes to provide to RGLS, any security holder of RGLS, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| December 26, 2018 Filed Dec 28, 2018 21:21 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock | 90,000 | $0.95 | $85,878.00 |
DisclosureSEC source: 0001209191-18-064319 · doc4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 758,672 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8796 to $1.10 inclusive. The reporting person undertakes to provide to RGLS, any security holder of RGLS, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| November 16, 2018 Filed Nov 19, 2018 21:03 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock | 300,000 | $1.38 | $415,470.00 |
DisclosureSEC source: 0001209191-18-059148 · doc4.xml · nonDerivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 668,672 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.36 to $1.41 inclusive. The reporting person undertakes to provide to RGLS, any security holder of RGLS, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| November 15, 2018 Filed Nov 19, 2018 21:03 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock | 200,000 | $1.33 | $265,080.00 |
DisclosureSEC source: 0001209191-18-059148 · doc4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368,672 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.27 to $1.33 inclusive. The reporting person undertakes to provide to RGLS, any security holder of RGLS, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option (Right to Buy) · Derivative | 4,583 | Not disclosed Strike: $8.76 | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · derivative · entry 9 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,583 shares Expires 2028-05-31 F2 · shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. F4 · price: On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I. F6 · derivative.exercise_date: The cancelled option vested in twelve equally monthly installments, such that the option would have been fully vested one year from the date of grant, or the date of the Company's next annual shareholder meeting, whichever occured first. F2 · derivative.underlying_shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option (Right to Buy) · Derivative | 6,250 | Not disclosed Strike: $8.52 | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · derivative · entry 8 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,250 shares Expires 2028-05-16 F2 · shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. F4 · price: On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I. F5 · derivative.exercise_date: The cancelled option provided for vesting in 12 equal monthly installments commencing on the date of grant. F2 · derivative.underlying_shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option (Right to Buy) · Derivative | 2,500 | Not disclosed Strike: $17.40 | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · derivative · entry 7 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,500 shares Expires 2027-05-30 F2 · shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. F4 · price: On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I. F3 · derivative.exercise_date: The shares subject to the cancelled option were fully vested. F2 · derivative.underlying_shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option (Right to Buy) · Derivative | 3,051 | Not disclosed Strike: $74.40 | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · derivative · entry 6 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,051 shares Expires 2026-05-31 F2 · shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. F4 · price: On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I. F3 · derivative.exercise_date: The shares subject to the cancelled option were fully vested. F2 · derivative.underlying_shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option (Right to Buy) · Derivative | 1,458 | Not disclosed Strike: $120.24 | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · derivative · entry 5 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,458 shares Expires 2025-06-08 F2 · shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. F4 · price: On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I. F3 · derivative.exercise_date: The shares subject to the cancelled option were fully vested. F2 · derivative.underlying_shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option (Right to Buy) · Derivative | 1,458 | Not disclosed Strike: $74.64 | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · derivative · entry 4 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,458 shares Expires 2024-05-21 F2 · shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. F4 · price: On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I. F3 · derivative.exercise_date: The shares subject to the cancelled option were fully vested. F2 · derivative.underlying_shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option (Right to Buy) · Derivative | 1,458 | Not disclosed Strike: $111.84 | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · derivative · entry 3 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,458 shares Expires 2023-06-09 F2 · shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. F4 · price: On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I. F3 · derivative.exercise_date: The shares subject to the cancelled option were fully vested. F2 · derivative.underlying_shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | Disposition to issuerStock Option (Right to Buy) · Derivative | 152 | Not disclosed Strike: $31.92 | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 152 shares Expires 2022-02-08 F2 · shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. F4 · price: On November 12, 2018, the issuer cancelled, pursuant to the issuer's option exchange program, the listed option. In exchange for the options cancelled, the reporting person received the Restricted Stock Units reported above in Table I. F3 · derivative.exercise_date: The shares subject to the cancelled option were fully vested. F2 · derivative.underlying_shares: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| November 12, 2018 Filed Nov 21, 2018 22:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock | 20,910 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-059793 · doc4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,672 F1 · price: On November 12, 2018, the issuer canceled, pursuant to the issuer's option exchange program, the options listed below in Table II. In exchange for the options cancelled, the reporting person received Restricted Stock Units (RSUs) as reported in this Table I. The RSUs vest ratably on a quarterly basis, such that the the RSUs are fully vested one year after the date of grant, subject to the reporting person's continuous service to Regulus through each vesting date. F2 · balance_after: Share numbers and exercise price reflect the 12-to-1 reverse stock split of the Issuer's common stock effective October 3, 2018. Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 21:27 UTC | BIOGEN INC. BIIB · Entity 1675 | GrantCommon Stock | 1,450 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-020950 · form4.xml · nonDerivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,190 F1 · balance_after: The reporting person transferred 5,831 shares that he directly owned to Esperanza Holdings, LLC. F2 · balance_after: The reporting person transferred 12,375 shares that he directly owned to Stelios Holdings, LLC. Read SEC document |
| June 01, 2018 Filed Jun 5, 2018 20:29 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 55,000 | $0.00 Strike: $0.73 | $0.00 |
DisclosureSEC source: 0001209191-18-035697 · doc4.xml · derivative · entry 1 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2028-05-31 F1 · derivative.exercise_date: The option will vest in twelve equally monthly installments, such that the option will be fully vested one year from the date of grant, or the date of the Company's 2019 annual shareholder meeting, whichever occurs first. Read SEC document |
| May 24, 2018 Filed May 25, 2018 00:28 UTC | EXELIXIS, INC. EXEL · Entity 3386 | GrantOption (right to buy) · Derivative | 15,874 | $0.00 Strike: $20.50 | $0.00 |
DisclosureSEC source: 0000939767-18-000108 · wf-form4_152720803868692.xml · derivative · entry 2 PAPADOPOULOS STELIOS · CIK 0001202098 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,874 Underlying: Common Stock · 15,874 shares Expires 2025-05-23 F4 · derivative.exercise_date: Option granted pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The option is exercisable immediately, subject to repurchase provisions, and will vest as to 1/12th of the shares subject to the option each month following the date of grant, subject to the Reporting Person's continuous service through such dates. 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.