Statement of Changes in Beneficial Ownership (4)
November 18 2019 - 5:21PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
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0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
CPMG Inc |
2. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC
[
RETA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2000 MCKINNEY AVE., STE 2125 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/18/2019 |
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(Street)
DALLAS, TX 75201
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Class A common stock | 11/18/2019 | | P | | 7104 | A | $183 | 116512 | I (1) | By Nighthawk Partners, LP (1) |
| Class A common stock | 11/18/2019 | | P | | 328 | A | $183 | 282246 | I (1) | By Willet Fund, LP (1) |
| Class A common stock | 11/18/2019 | | P | | 27322 | A | $183 | 137962 | I (1) | By Killdeer Fund, LP (1) |
| Class A common stock | 11/18/2019 | | P | | 5464 | A | $183 | 5464 | I (1) | By Elepaio Partners, LP (1) |
| Class A common stock | | | | | | | | 44200 | I (1) | By Barred Owl Partners, LP (1) |
| Class A common stock | | | | | | | | 34897 | I (1) | By Managed Account for Trustees of the University of Pennsylvania (1) |
| Class A common stock | | | | | | | | 442560 | I (1) | By Gallopavo, LP (1) |
| Class A common stock | | | | | | | | 748253 | I (1) | By Roadrunner Fund, LP (1) |
| Class A common stock | | | | | | | | 103185 | I (1) | By Blackwell Partners LLC (1) |
| Class A common stock | | | | | | | | 431155 | I (1) | By Yellow Warbler, LP (1) |
| Class A common stock | | | | | | | | 109415 | I (1) | By Mallard Fund, LP (1) |
| Class A common stock | | | | | | | | 37909 | I (1) | By Crested Crane, LP (1) |
| Class A common stock | | | | | | | | 63481 | I (1) | By Flamingo Fund, LP (1) |
| Class A common stock | | | | | | | | 334740 | I (1) | By Sandpiper Fund, LP (1) |
| Class A common stock | | | | | | | | 160265 | I (1) | By Kestrel Fund, LP (1) |
| Class A common stock | | | | | | | | 11076 | I (1) | By CD Fund, LP (1) |
| Class A common stock | | | | | | | | 134 | I (1) | By Redbird Life Sciences Partners, LP (1) |
| Class A common stock | | | | | | | | 113 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Explanation of Responses: |
| (1) | The Reporting Person is the investment manager of each of: Nighthawk Partners, LP; Killdeer Fund, LP; Willet Fund, LP; Elepaio Partners, LP; Barred Owl Partners, LP; Blackwell Partners LLC; Crested Crane, LP; Flamingo Fund, LP; Gallopavo, LP; Roadrunner Fund, LP; Sandpiper Fund, LP; Mallard Fund, LP; Yellow Warbler, LP; Kestrel Fund, LP; CD Fund, LP; Redbird Life Sciences Partners, LP; and a managed account for Trustees of the University of Pennsylvania. The Reporting Person disclaims beneficial ownership of the shares except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
Remarks:
Mr. McGaughy, Jr., a co-director and co-shareholder of the Reporting Person, serves on the Issuer's Board of Directors (the "Board") as a representative of the Reporting Person. By virtue of his representation on the Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the Reporting Person is deemed to be a director by deputization. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
CPMG Inc
2000 MCKINNEY AVE., STE 2125
DALLAS, TX 75201 | X | X |
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Signatures
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| /s/ John Bateman, Chief Operating Officer
of CPMG, Inc. | | 11/18/2019 |
| **Signature of Reporting Person | Date |
Reata Pharmaceuticals (NASDAQ:RETA)
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