Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aurinia Pharmaceuticals Inc.AUPH · Entity 4463 | Director | May 18, 2023 | May 23, 2023 |
| Zosano Pharma CorpZSAN · Entity 12518 | Director | June 10, 2021 | June 14, 2021 |
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.
Aurinia Pharmaceuticals Inc.
Report date May 18, 2023 · Filed May 23, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 11,961 |
Ending reported balance
After 2023-05-19 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-05-18 · Exercise / conversion · Acquired 8,733 · Balance 12,233 F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date. Row 2 · 2023-05-19 · Sale · Disposed 272 · Balance 11,961 F2: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-05-18 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-05-18 · Exercise / conversion · Disposed 8,733 · Balance 0 F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of Issuer Common Stock. The RSUs have no expiration date.
F2: Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of RSUs.
Zosano Pharma Corp
Report date June 10, 2021 · Filed June 14, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,500 |
Reported balance
After 2021-06-10 transaction · row 1
1 source rowRow 1 · 2021-06-10 · Grant · Acquired 15,000 · Balance 22,500 F1: Represents restricted stock units which vest in a single installment on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.93 · Expires 2031-06-09 | Direct | 30,000 |
Reported balance
After 2021-06-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-06-10 · Grant · Acquired 30,000 · Balance 30,000 F2: The option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units which vest in a single installment on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through such vesting date.
F2: The option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date and (ii) immediately prior to the annual meeting in 2022 of the Issuer's stockholders, assuming continuous service through 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 |
Reported balance
After 2025-06-25 transaction · row 1
1 source rowRow 1 · 2025-06-25 · Disposition to issuer · Disposed 571,558 · 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. F3: Pursuant to the terms of the Merger Agreement, (i) each Share was converted into the right to receive the Offer Price and (ii) each performance stock unit ("PSU") was canceled and converted into the right to receive (A) an amount in cash (without interest) equal to the product obtained by multiplying (x) the aggregate number of Shares underlying such PSU immediately prior to the Effective Time by (y) the Closing Amount plus (B) one CVR with respect to each such Share subject to such PSU immediately prior to the Effective Time. The 280,750 PSUs reported herein were unintentionally omitted from previous Form 4 filings made by the Reporting Person following the achievement of the performance-based vesting conditions applicable thereto. |
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $9.50 | Direct | 0 |
Reported balance
After 2025-06-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-06-25 · Disposition to issuer · Disposed 6,500 · 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 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 $9.50 | 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 1,000 · 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 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 $6.40 | 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 100,000 · 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. F4: 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 $13.10 | 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 90,000 · 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 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 $2.60 | 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 160,000 · 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. F4: 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 $13.10 | 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 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 $1.48 | 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 100,000 · 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. F4: 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 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2025-06-25 · Disposition to issuer · Disposed 1,312,500 · 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 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 $1.30 | 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 249,000 · 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. F4: 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 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2025-06-25 · Disposition to issuer · Disposed 990,000 · 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. F4: 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 $1.00 | Direct | 0 |
Reported balance
After 2025-06-25 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2025-06-25 · Disposition to issuer · Disposed 1,350,000 · 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. F4: 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 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2025-06-25 · Disposition to issuer · Disposed 2,976 · 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 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, (i) each Share was converted into the right to receive the Offer Price and (ii) each performance stock unit ("PSU") was canceled and converted into the right to receive (A) an amount in cash (without interest) equal to the product obtained by multiplying (x) the aggregate number of Shares underlying such PSU immediately prior to the Effective Time by (y) the Closing Amount plus (B) one CVR with respect to each such Share subject to such PSU immediately prior to the Effective Time. The 280,750 PSUs reported herein were unintentionally omitted from previous Form 4 filings made by the Reporting Person following the achievement of the performance-based vesting conditions applicable thereto.
F4: 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: 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: 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 |
|---|---|---|---|---|---|---|
| June 25, 2020 Filed Jun 29, 2020 21:54 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-015095 · form4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 F1 · kind: Represents restricted stock units which vest in a single installment on the first anniversary of June 3, 2020, subject to the Reporting Person's continued service to the Issuer on the vesting date. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 17:05 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.01 | $0.00 |
DisclosureSEC source: 0001567619-20-011805 · doc1.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2030-06-02 F1 · derivative.exercise_date: The shares underlying the option shall vest on the first anniversary of the date of grant. Read SEC document |
| May 15, 2020 Filed May 18, 2020 16:28 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 4,426 | $0.63 | $2,773.77 |
DisclosureSEC source: 0001209191-20-030089 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,333 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 11/12/2018. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. Read SEC document |
| February 18, 2020 Filed Feb 19, 2020 18:09 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 4,324 | $0.83 | $3,590.65 |
DisclosureSEC source: 0001209191-20-010754 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,759 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 11/12/2018. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. Read SEC document |
| January 22, 2020 Filed Jan 24, 2020 16:13 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 900,000 | $0.00 Strike: $1.31 | $0.00 |
DisclosureSEC source: 0001209191-20-004813 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900,000 Underlying: Common Stock · 900,000 shares Expires 2030-01-21 F1 · derivative.exercise_date: The stock option will vest ratably on a monthly basis over a 48 month period subject to the reporting person's continuous service to Regulus through each such vesting date. Read SEC document |
| January 02, 2020 Filed Jan 3, 2020 16:07 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 8,345 | $0.97 | $8,067.11 |
DisclosureSEC source: 0001209191-20-000785 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,083 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 2/5/2019. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. Read SEC document |
| December 24, 2019 Filed Dec 26, 2019 08:50 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock Purchase Warrant (Right to Buy) · Derivative | 75,850 | $0.13 Strike: $0.67 | $9,481.25 |
DisclosureSEC source: 0001209191-19-061855 · doc4.xml · derivative · entry 2 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · PENSCO TRUST CO OBO JOSEPH HAGAN IRA Disclosed balance after: 75,850 Underlying: Common Stock · 75,850 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 08:50 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantClass A-2 Convertible Preferred Stock · Derivative | 7,585 | $6.66 | $50,516.10 |
DisclosureSEC source: 0001209191-19-061855 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · PENSCO TRUST CO OBO JOSEPH HAGAN IRA Disclosed balance after: 7,585 Underlying: Common Stock · 75,850 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 |
| November 14, 2019 Filed Nov 15, 2019 17:36 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 5,838 | $0.64 | $3,736.32 |
DisclosureSEC source: 0001209191-19-056799 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,428 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 10/12/2018. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. Read SEC document |
| October 10, 2019 Filed Oct 15, 2019 16:43 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 1,000,000 | $0.00 Strike: $0.64 | $0.00 |
DisclosureSEC source: 0001209191-19-053164 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2029-10-09 F1 · derivative.exercise_date: The stock option will vest ratably on a monthly basis over a 48 month period subject to the reporting person's continuous service to Regulus through each such vesting date. Read SEC document |
| October 01, 2019 Filed Oct 2, 2019 18:17 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 8,743 | $0.68 | $5,968.85 |
DisclosureSEC source: 0001209191-19-051910 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,266 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 2/5/2019. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. Read SEC document |
| August 15, 2019 Filed Aug 16, 2019 16:17 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 4,375 | $0.55 | $2,408.88 |
DisclosureSEC source: 0001209191-19-046314 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,009 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 2/5/2019. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. Read SEC document |
| July 01, 2019 Filed Jul 2, 2019 17:42 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 5,783 | $1.31 | $7,584.40 |
DisclosureSEC source: 0001209191-19-040504 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,384 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 2/5/2019. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. Read SEC document |
| May 16, 2019 Filed May 16, 2019 17:25 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 39,352 | $1.22 | $47,966.15 |
DisclosureSEC source: 0001209191-19-030512 · doc4.xml · nonDerivative · entry 2 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,167 F2 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units (RSUs) received by the Reporting Person on 5/14/2019. These sales are made pursuant to an existing 10b5-1 plan under which the Reporting Person has irrevocably elected to satisfy the tax obligations through this sale and do not represent discretionary trades by the Reporting Person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.1946 to $1.2210 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 |
| May 14, 2019 Filed May 16, 2019 17:25 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0001209191-19-030512 · doc4.xml · derivative · entry 3 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2029-02-04 F4 · derivative.exercise_date: On February 5, 2019, the reporting person was granted an option to purchase the number of shares of common stock set forth in Box 5. The option vests only upon the achievement of a performance-based milestone. The performance criteria were met, resulting in vesting of the option. Upon achievement of the milestone, 50% of the options subject to the milestone immediately vest, with the remaining options vesting in 24 equal monthly installments following the vesting commencement date. Read SEC document |
| May 14, 2019 Filed May 16, 2019 17:25 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock | 188,385 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-030512 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 307,519 F1 · shares: On November 11, 2018, the reporting person was granted Restricted Stock Units in the Company's tender offer. The RSUs vest only upon the achievement of a performance-based milestone. The performance criteria were met, resulting in vesting of the RSUs. Upon achievement of the milestone, 50% of the RSU subject to the milestone immediately vest, with the remaining RSUs vesting quarterly in the 24 months following the vesting commencement date. Read SEC document |
| May 07, 2019 Filed May 8, 2019 17:15 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock Purchase Warrant (Right to Buy) · Derivative | 33,194 | $0.13 Strike: $1.08 | $4,149.25 |
DisclosureSEC source: 0001209191-19-028281 · doc4.xml · derivative · entry 2 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,194 Underlying: Common Stock · 33,194 shares Expires 2024-05-07 Read SEC document |
| May 07, 2019 Filed May 8, 2019 17:15 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock | 33,194 | $1.08 | $35,849.52 |
DisclosureSEC source: 0001209191-19-028281 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,542 Read SEC document |
| May 07, 2019 Filed May 21, 2019 16:42 UTC Amendment | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock Purchase Warrant (Right to Buy) · Derivative | 33,194 | $0.13 Strike: $1.08 | $4,149.25 |
DisclosureSEC source: 0001209191-19-031763 · doc4a.xml · derivative · entry 2 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,194 Underlying: Common Stock · 33,194 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 16:42 UTC Amendment | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock | 33,194 | $1.08 | $35,849.52 |
DisclosureSEC source: 0001209191-19-031763 · doc4a.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,542 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 |
| April 01, 2019 Filed Apr 3, 2019 16:31 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | SaleCommon Stock | 5,842 | $0.98 | $5,731.00 |
DisclosureSEC source: 0001209191-19-023136 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,348 F1 · shares: Sale of shares of common stock under an existing 10b5-1 Plan to cover tax withholding obligations incurred in connection with the vesting of the restricted stock unit award received by the Reporting Person on 2/5/2019. Read SEC document |
| February 05, 2019 Filed Feb 6, 2019 16:51 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 65,000 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0001209191-19-007777 · doc4.xml · derivative · entry 2 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2029-02-04 F2 · derivative.exercise_date: The stock option will vest ratably on a monthly basis over a 48 month period subject to the reporting person's continuous service to Regulus through each such vesting date. Read SEC document |
| February 05, 2019 Filed Feb 6, 2019 16:51 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantCommon Stock | 65,000 | $0.95 | $61,750.00 |
DisclosureSEC source: 0001209191-19-007777 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,148 F1 · shares: Restricted Stock Units which vest ratably on a quarterly basis such that the grant is fully vested on December 31, 2019, subject to the reporting person's continuous service to Regulus through each such vesting date. Read SEC document |
| January 02, 2019 Filed Jul 18, 2019 16:08 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 1,500 | $0.00 Strike: $2.34 | $0.00 |
DisclosureSEC source: 0001567619-19-014981 · doc1.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 1,500 shares Expires 2029-01-02 F1 · derivative.exercise_date: The shares underlying the option shall vest on the first anniversary of the date of grant. Read SEC document |
| May 31, 2018 Filed Jun 1, 2018 19:06 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $4.24 | $0.00 |
DisclosureSEC source: 0001587221-18-000027 · edgar.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-04-16 F1 · date: The option grant was approved by the compensation committee of the Company's board of directors on April 16, 2018, subject to stockholder approval of an amendment to the stock option plan under which the option was granted. The Company's stockholders approved the plan amendment on May 31, 2018. F2 · derivative.exercise_date: The shares underlying the stock option vest in equal monthly installments over a four-year period, beginning on May 16, 2018, so that all shares shall have vested on April 16, 2022. Read SEC document |
| May 17, 2018 Filed May 21, 2018 16:40 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 725,000 | $0.00 Strike: $0.71 | $0.00 |
DisclosureSEC source: 0001209191-18-031892 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725,000 Underlying: Common Stock · 725,000 shares Expires 2028-05-16 F1 · derivative.exercise_date: The option will vest in forty-eight equal monthly installments, such that the option will be fully vested four years from the date of grant, subject to the Reporting Person's continuous service to us. Read SEC document |
| January 05, 2018 Filed Jan 5, 2018 18:59 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 1,000,000 | $0.00 Strike: $1.24 | $0.00 |
DisclosureSEC source: 0001209191-18-002557 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2028-01-04 F1 · derivative.exercise_date: The option will vest in forty-eight equal monthly installments, such that the option will be fully vested four years from the date of grant, subject to the Reporting Person's continuous service to us. Read SEC document |
| January 02, 2018 Filed Mar 2, 2018 19:07 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $0.53 | $0.00 |
DisclosureSEC source: 0001587221-18-000004 · edgar.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2028-01-02 F1 · derivative.exercise_price: As a result of a 1-for-20 reverse stock split of the common stock of the Company, which became effective at 5:00 p.m. Eastern Time on January 25, 2018 (the "Reverse Split"), the exercise price has increased from $0.53 per share to $10.60 per share. F2 · shares: As a result of the Reverse Split, the number of shares of the Company's common stock underlying the stock option has decreased from 30,000 shares to 1,500 shares. F3 · derivative.exercise_date: The shares underlying the option shall vest on the first anniversary of the date of grant. F2 · derivative.underlying_shares: As a result of the Reverse Split, the number of shares of the Company's common stock underlying the stock option has decreased from 30,000 shares to 1,500 shares. F2 · balance_after: As a result of the Reverse Split, the number of shares of the Company's common stock underlying the stock option has decreased from 30,000 shares to 1,500 shares. Read SEC document |
| July 25, 2017 Filed Jul 25, 2017 18:08 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | PurchaseCommon Stock | 219,780 | $0.91 | $199,999.80 |
DisclosureSEC source: 0001209191-17-046233 · doc4.xml · nonDerivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,297 Read SEC document |
| May 04, 2017 Filed May 8, 2017 16:26 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 750,000 | $0.00 Strike: $1.70 | $0.00 |
DisclosureSEC source: 0001209191-17-030595 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 750,000 Underlying: Common Stock · 750,000 shares Expires 2027-05-03 F1 · derivative.exercise_date: 25% of the shares vest on May 4, 2018 and the remainder of the shares vest in equal installments on a monthly basis thereafter, such that the option is fully vested on May 4, 2021. Read SEC document |
| February 15, 2017 Filed Feb 23, 2017 17:22 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 160,000 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0001209191-17-013900 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,000 Underlying: Common Stock · 160,000 shares Expires 2027-02-14 F1 · derivative.exercise_date: 25% of the shares vest on January 1, 2018 and the remainder of the shares vest in equal installments on a monthly basis thereafter, such that the option is fully vested on January 1, 2021. Read SEC document |
| January 30, 2017 Filed Feb 1, 2017 17:12 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $5.77 | $0.00 |
DisclosureSEC source: 0001209191-17-006798 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2026-01-31 F1 · balance_after: On February 1, 2016, the reporting person was granted an option to purchase 30,000 shares of common stock. The option vests only upon achievement of a performance-based milestone. The performance criteria were met on January 30, 2017, resulting in vesting of the option. Upon achievement of the milestone, fifty percent of the shares immediately vest with the remaining shares vesting over the 24 month period following the vesting commencement date, subject to the reporting person's continuous service to Regulus. Read SEC document |
| November 02, 2016 Filed Nov 4, 2016 17:18 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $0.58 | $0.00 |
DisclosureSEC source: 0001209191-16-148475 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2026-11-02 F1 · derivative.exercise_date: The shares underlying the option vest over one year in 12 equal monthly installments, beginning on November 1, 2016. Read SEC document |
| October 05, 2016 Filed Oct 7, 2016 17:10 UTC | Regulus Therapeutics Inc. RGLS · Entity 78034 | GrantStock Option (Right to Buy) · Derivative | 59,625 | $0.00 Strike: $3.52 | $0.00 |
DisclosureSEC source: 0001209191-16-145420 · doc4.xml · derivative · entry 1 Hagan Joseph P · CIK 0001465278 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,625 Underlying: Common Stock · 59,625 shares Expires 2026-10-04 F1 · derivative.exercise_date: 25% of the shares vest on October 5, 2017 and the remainder of the shares vest in equal installments on a monthly basis thereafter, such that the option is fully vested on October 5, 2021. 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.