Vault-13

REGULUS THERAPEUTICS INC RGLS

COM · Common Stock · CUSIP 75915K309

63 institutional holders +18 vs Q1 2024
54,888,75754.9m shares reported held*
$97.9mreported value*
27 new 12 added 15 reduced 10 sold out net bought ≈ $16.3m (+9.2m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $1.78. Options: 6 managers hold calls ($329.4k notional), 5 hold puts ($119.5k).

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 24Q4 22: 26Q1 23: 26Q2 23: 25Q3 23: 25Q4 23: 26Q1 24: 45Q2 24: 6363Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202224
Q4 202226
Q1 202326
Q2 202325
Q3 202325
Q4 202326
Q1 202445
Q2 202463

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 9 bought or addedQ4 22: 7 cut or sold outQ4 22Q1 23: 8 bought or addedQ1 23: 9 cut or sold outQ2 23: 11 bought or addedQ2 23: 4 cut or sold outQ2 23Q3 23: 9 bought or addedQ3 23: 7 cut or sold outQ4 23: 8 bought or addedQ4 23: 6 cut or sold outQ4 23Q1 24: 35 bought or addedQ1 24: 7 cut or sold outQ2 24: 39 bought or addedQ2 24: 25 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 202297
Q1 202389
Q2 2023114
Q3 202397
Q4 202386
Q1 2024357
Q2 20243925

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$500k$1m$1.5mQ3 23 calls: $535.1kQ3 23 puts: $138Q3 23P/C 0.00Q4 23 calls: $458.3kQ4 23 puts: $2.7kQ4 23P/C 0.01Q1 24 calls: $1.1mQ1 24 puts: $162.6kQ1 24P/C 0.15Q2 24 calls: $329.4kQ2 24 puts: $119.5kQ2 24P/C 0.36
Numbers
QuarterCallsPutsP/C
Q3 2023$535.1k$1380.00
Q4 2023$458.3k$2.7k0.01
Q1 2024$1.1m$162.6k0.15
Q2 2024$329.4k$119.5k0.36

Biggest buyers

Octagon Capital Advisors LP New +4,263,701+4.3m
BlackRock Inc. Added +3,900,826+3.9m
VANGUARD GROUP INC Added +3,310,648+3.3m
Opaleye Management Inc. Added +1,304,692+1.3m
GEODE CAPITAL MANAGEMENT, LLC Added +1,172,919+1.2m
Woodline Partners LP New +947,685+947.7k
STATE STREET CORP Added +925,783+925.8k
ExodusPoint Capital Management, LP New +329,639+329.6k
Bank of New York Mellon Corp New +197,193+197.2k
CHARLES SCHWAB INVESTMENT MANAGEMENT INC New +178,879+178.9k

Biggest sellers

ADAGE CAPITAL PARTNERS GP, L.L.C. Reduced -1,679,854-1.7m
Soleus Capital Management, L.P. Sold out -1,562,500-1.6m
CVI Holdings, LLC Reduced -1,005,238-1.0m
FMR LLC Reduced -900,000-900.0k
MILLENNIUM MANAGEMENT LLC Reduced -659,645-659.6k
Polar Asset Management Partners Inc. Sold out -536,400-536.4k
Monashee Investment Management LLC Reduced -427,951-428.0k
Exome Asset Management LLC Sold out -402,504-402.5k
Hudson Bay Capital Management LP Reduced -375,060-375.1k
DAFNA Capital Management LLC Reduced -175,348-175.3k

Biggest calls

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced $203.7k113.8k shares
WOLVERINE TRADING, LLC Added $43.7k24.5k shares
GROUP ONE TRADING LLC Reduced $31.6k17.7k shares
CITADEL ADVISORS LLC Reduced $30.3k17.0k shares
SIMPLEX TRADING, LLC Reduced $20.0k11.3k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Biggest puts

SUSQUEHANNA INTERNATIONAL GROUP, LLP New $46.5k26.0k shares
GROUP ONE TRADING LLC Reduced $32.3k18.1k shares
SIMPLEX TRADING, LLC Reduced $26.0k15.0k shares
CITADEL ADVISORS LLC Reduced $14.6k8.2k shares
CONCOURSE FINANCIAL GROUP SECURITIES, INC. Unchanged $00 shares

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 FEDERATED HERMES, INC. 0.05% of their portfolio PITTSBURGH, PA 12,852,65412.9m $22.9m $22.9m 0.05% Unchanged
2 RA CAPITAL MANAGEMENT, L.P. 0.15% of their portfolio BOSTON, MA 6,250,0006.2m $11.2m $11.2m 0.15% Unchanged
3 Vivo Capital, LLC 0.82% of their portfolio Palo Alto, CA 5,000,0005.0m $8.9m $8.9m 0.82% Unchanged
4 Octagon Capital Advisors LP 1.26% of their portfolio NEW YORK, NY 4,263,7014.3m $7.6m $7.6m 1.26% New
5 VANGUARD GROUP INC 0.00% of their portfolio Valley Forge, PA 4,050,8634.1m $7.2m $7.2m 0.00% Added +3.3m +3,310,648
6 BlackRock Inc. 0.00% of their portfolio New York, NY 3,968,8574.0m $7.1m $7.1m 0.00% Added +3.9m +3,900,826
7 Deep Track Capital, LP 0.17% of their portfolio GREENWICH, CT 3,262,5643.3m $5.8m $5.8m 0.17% Reduced -4.0k -4,002
8 FMR LLC 0.00% of their portfolio BOSTON, MA 2,022,6002.0m $3.6m $3.6m 0.00% Reduced -900.0k -900,000
9 ADAGE CAPITAL PARTNERS GP, L.L.C. 0.01% of their portfolio Boston, MA 2,000,0002.0m $3.6m $3.6m 0.01% Reduced -1.7m -1,679,854
10 Opaleye Management Inc. 0.60% of their portfolio BOSTON, MA 1,475,0001.5m $2.6m $2.6m 0.60% Added +1.3m +1,304,692
11 GEODE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio BOSTON, MA 1,333,5091.3m $2.4m $2.4m 0.00% Added +1.2m +1,172,919
12 MILLENNIUM MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 1,215,5811.2m $2.2m $2.2m 0.00% Reduced -659.6k -659,645
13 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 967,502967.5k $1.7m $1.7m 0.00% Added +925.8k +925,783
14 Woodline Partners LP 0.02% of their portfolio San Francisco, CA 947,685947.7k $1.7m $1.7m 0.02% New
15 Alyeska Investment Group, L.P. 0.01% of their portfolio CHICAGO, IL 937,500937.5k $1.7m $1.7m 0.01% Unchanged
16 DAFNA Capital Management LLC 0.38% of their portfolio LOS ANGELES, CA 895,200895.2k $1.6m $1.6m 0.38% Reduced -175.3k -175,348
17 CVI Holdings, LLC 0.62% of their portfolio WILMINGTON, DE 401,012401.0k $715.8k $715.8k 0.62% Reduced -1.0m -1,005,238
18 VICTORY CAPITAL MANAGEMENT INC 0.00% of their portfolio San Antonio, TX 361,386361.4k $645.1k $645.1k 0.00% Reduced -6.8k -6,760
19 ExodusPoint Capital Management, LP 0.01% of their portfolio NEW YORK, NY 329,639329.6k $588.0k $588.0k 0.01% New
20 Hudson Bay Capital Management LP 0.00% of their portfolio STAMFORD, CT 249,940249.9k $446.1k $446.1k 0.00% Reduced -375.1k -375,060
21 Bank of New York Mellon Corp 0.00% of their portfolio NEW YORK, NY 197,193197.2k $352.0k $352.0k 0.00% New
22 Monashee Investment Management LLC 0.05% of their portfolio Boston, MA 197,049197.0k $351.7k $351.7k 0.05% Reduced -428.0k -427,951
23 Sarissa Capital Management LP 0.06% of their portfolio GREENWICH, CT 185,183185.2k $330.6k $330.6k 0.06% Unchanged
24 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 0.00% of their portfolio SAN FRANCISCO, CA 178,879178.9k $319.3k $319.3k 0.00% New
25 NORTHERN TRUST CORP 0.00% of their portfolio CHICAGO, IL 172,750172.8k $308.4k $308.4k 0.00% Added +154.8k +154,772
26 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 138,465138.5k $247.2k $247.2k 0.00% Reduced -89.0k -88,954
27 RENAISSANCE TECHNOLOGIES LLC 0.00% of their portfolio NEW YORK, NY 118,100118.1k $210.8k $210.8k 0.00% Added +42.6k +42,600
28 Nuveen Asset Management, LLC 0.00% of their portfolio CHICAGO, IL 85,60285.6k $152.8k $152.8k 0.00% New
29 RHUMBLINE ADVISERS 0.00% of their portfolio BOSTON, MA 76,47276.5k $136.5k $136.5k 0.00% New
30 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 62,97063.0k $112.4k $112.4k 0.00% Reduced -20.5k -20,487
31 PEAK6 Investments LLC 0.00% of their portfolio CHICAGO, IL 60,00060.0k $107.1k $107.1k 0.00% New
32 Alpine Global Management, LLC 0.02% of their portfolio NEW YORK, NY 59,00459.0k $105.3k $105.3k 0.02% New
33 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 53,82653.8k $96.1k $96.1k 0.00% Added +14.3k +14,342
34 NEW YORK STATE COMMON RETIREMENT FUND 0.00% of their portfolio ALBANY, NY 49,40049.4k $88.2k $88.2k 0.00% New
35 LPL Financial LLC 0.00% of their portfolio FORT MILL, SC 46,98047.0k $83.9k $83.9k 0.00% Reduced -66.5k -66,500
36 TWO SIGMA SECURITIES, LLC 0.00% of their portfolio NEW YORK, NY 38,45138.5k $68.6k $68.6k 0.00% New
37 TWO SIGMA INVESTMENTS, LP 0.00% of their portfolio NEW YORK, NY 35,29935.3k $63.0k $63.0k 0.00% New
38 Corebridge Financial, Inc. 0.00% of their portfolio HOUSTON, TX 33,97434.0k $61.0k $61.0k 0.00% First filing
39 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 33,05633.1k $59.0k $59.0k 0.00% New
40 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 29,06129.1k $51.9k $51.9k 0.00% New
41 ALLIANCEBERNSTEIN L.P. 0.00% of their portfolio NASHVILLE, TN 26,88026.9k $48.0k $48.0k 0.00% New
42 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 25,84825.8k $46.1k $46.1k 0.00% Added +25.7k +25,706
43 VOYA INVESTMENT MANAGEMENT LLC 0.00% of their portfolio ATLANTA, GA 23,07423.1k $41.2k $41.2k 0.00% New
44 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 21,92821.9k $39.1k $39.1k 0.00% New
45 PRICE T ROWE ASSOCIATES INC /MD/ 0.00% of their portfolio BALTIMORE, MD 20,39320.4k $0 $0 0.00% New
46 UBS Group AG 0.00% of their portfolio ZURICH, V8 19,21719.2k $34.3k $34.3k 0.00% Added +18.9k +18,915
47 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 18,00018.0k $32.0k $32.0k 0.00% Unchanged
48 MetLife Investment Management, LLC 0.00% of their portfolio Whippany, NJ 16,77916.8k $30.0k $30.0k 0.00% New
49 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 14,16514.2k $25.3k $25.3k 0.00% Reduced -2 -2
50 PRELUDE CAPITAL MANAGEMENT, LLC 0.00% of their portfolio NEW YORK, NY 14,10014.1k $25.2k $25.2k 0.00% Reduced -118.4k -118,370
51 GRIMES & Co WEALTH MANAGEMENT, LLC 0.00% of their portfolio WESTBOROUGH, MA 10,97511.0k $19.6k $19.6k 0.00% Added +711 +711
52 Tyche Wealth Partners LLC 0.00% of their portfolio PLANO, TX 10,39510.4k $18.6k $18.6k 0.00% New
53 Ameritas Investment Partners, Inc. 0.00% of their portfolio LINCOLN, NE 6,1876.2k $11.0k $11.0k 0.00% New
54 Legal & General Group Plc 0.00% of their portfolio London, X0 5,9566.0k $10.6k $10.6k 0.00% New
55 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 5,9485.9k $11.0k $11.0k 0.00% Added +5.9k +5,897
56 CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 0.00% of their portfolio WEST SACRAMENTO, CA 4,5764.6k $8.2k $8.2k 0.00% New
57 SIMPLEX TRADING, LLC 0.00% of their portfolio CHICAGO, IL 3,6223.6k $6.0k $6.0k 0.00% Reduced -71.8k -71,828
58 AMALGAMATED BANK 0.00% of their portfolio NEW YORK, NY 2,1852.2k $4.0k $4.0k 0.00% New
59 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 800800 $1.4k $1.4k 0.00% New
60 Community Bank, N.A. 0.00% of their portfolio DeWitt, NY 690690 $1.2k $1.2k 0.00% Unchanged
61 LAZARD ASSET MANAGEMENT LLC 0.00% of their portfolio NEW YORK, NY 122122 $0 $0 0.00% New
62 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 1010 $18 $18 0.00% New
63 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged