0001209191-20-061969.txt : 20201207
0001209191-20-061969.hdr.sgml : 20201207
20201207171136
ACCESSION NUMBER: 0001209191-20-061969
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201204
FILED AS OF DATE: 20201207
DATE AS OF CHANGE: 20201207
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Makhzoumi Mohamad
CENTRAL INDEX KEY: 0001630226
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35670
FILM NUMBER: 201373431
MAIL ADDRESS:
STREET 1: 2855 SAND HILL ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Regulus Therapeutics Inc.
CENTRAL INDEX KEY: 0001505512
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 264738379
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 10628 SCIENCE CENTER DRIVE
STREET 2: SUITE 225
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: 858-202-6300
MAIL ADDRESS:
STREET 1: 10628 SCIENCE CENTER DRIVE
STREET 2: SUITE 225
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-12-04
0
0001505512
Regulus Therapeutics Inc.
RGLS
0001630226
Makhzoumi Mohamad
2855 SAND HILL ROAD
MENLO PARK
CA
94025
0
0
1
0
Common Stock
2020-12-04
4
P
0
4398602
0.622
A
6451056
I
See Note 2
Common Stock Purchase Warrant (right to buy)
0.7464
2020-12-04
4
P
0
5239254
0.125
A
2020-12-04
2025-12-04
Common Stock
5239254
5239254
I
See Note 2
Class A-3 Convertible Preferred Stock
2020-12-04
4
P
0
258707
6.22
A
2020-12-04
Common Stock
2587070
258707
I
See Note 2
Acquired from the Issuer pursuant to a Securities Purchase Agreement dated December 1, 2020 with a closing date of December 4, 2020.
The Reporting Person is a manager of NEA 16 GP, LLC, which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P.
("NEA 16"). NEA 16 is the sole member of Growth Equity Opportunities Fund V, LLC ("GEO V"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by GEO V in which the Reporting Person has no pecuniary interest.
Each share of Class A-3 Convertible Preferred Stock, par value $0.001 per share ("Class A-3 Preferred Stock"), of the Issuer is convertible at any time into a number of shares of common stock, par value $0.001 ("Common Stock"), of
the Issuer at a rate of 10 shares of Common Stock for each share of Class A-3 Preferred Stock, for no additional consideration, in each case subject to customary adjustments under the certificate of designations for the Class A-3 Preferred Stock (the "Certificate of Designations"). Unless converted pursuant to its terms, the Class A-3 Preferred Stock does not expire. The Certificate of Designations prohibits conversion to the extent that the holder, together with its affiliates, would beneficially own in excess of 9.99% of the number of shares of Common Stock outstanding immediately after giving effect to the conversion.
/s/ Sasha Keough, attorney-in-fact
2020-12-07