Statement of Changes in Beneficial Ownership (4)
December 05 2019 - 5:23PM
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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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
*
ROSE WILLIAM |
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) __X__ Other (specify below) Member of 10% owner group |
(Last)
(First)
(Middle)
3963 MAPLE AVENUE, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/8/2019 |
(Street)
DALLAS, TX 75219
(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)
___ Form filed by One Reporting Person
_
X
_ 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 | 11/8/2019 | | C | | 15869 | A | (1) | 29386 | D (2) | |
Class A common stock | 11/18/2019 | | S | | 400 | D | $205.10 | 28986 | D (2) | |
Class A common stock | 11/18/2019 | | S | | 600 | D | $200.00 | 28386 | D (2) | |
Class A common stock | 11/19/2019 | | S | | 2000 | D | $210.00 | 26386 | D (2) | |
Class A common stock | 11/20/2019 | | S | | 591 | D | $215.89 | 25795 | D (2) | |
Class A common stock | 11/20/2019 | | S | | 2000 | D | $210.00 | 23795 | D (2) | |
Class A common stock | 11/20/2019 | | S | | 2000 | D | $211.27 | 21795 | D (2) | |
Class A common stock | 11/20/2019 | | S | | 2000 | D | $215.32 | 19795 | D (2) | |
Class A common stock | | | | | | | | 11618 | D (3) | |
Class A common stock | | | | | | | | 879281 | I | By trust (4) |
Class A common stock | | | | | | | | 7886 | I | See Footnote (5) |
Class A common stock | | | | | | | | 20 | I | By trust (6) |
Class A common stock | | | | | | | | 45 | I | By trust (7) |
Class A common stock | | | | | | | | 29 | I | See Footnote (8) |
Class A common stock | | | | | | | | 180909 | I | By Montrose (9) |
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 |
Class B common stock | (1) | 11/8/2019 | | C | | 15869 | | (1) | (1) | Class A common stock | 15869 | $0.00 | 0 | D (2) | |
Explanation of Responses: |
(1) | The Class B common stock is convertible into Class A common stock on a one-for-one basis at the holder's election at any time. The conversion right of the Class B common stock has no expiration date. |
(2) | These shares are owned directly by Charles E. Gale. |
(3) | These shares are owned directly by William E. Rose, a director of the issuer. |
(4) | These shares are owned directly by the Survivor's Trust, a ten percent owner of the issuer, for Charles E. Gale and Evelyn P. Rose serve as co-trustees. |
(5) | These shares are owned directly by Evelyn P. Rose Fidelity Rollover IRA and indirectly by Evelyn R. Rose. |
(6) | These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the Charles Henry Rose 2001 Trust. |
(7) | These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the John William Rose 2002 Trust. |
(8) | These shares are owned directly by the Charles E. Gale Fidelity Rollover IRS and indirectly by Charles E. Gale. |
(9) | These shares are owned directly by Montrose Investments I, L.P. ("Montrose"), and indirectly by William E. Rose, a director of the issuer, as sole shareholder and sole manager of the general partner of Montrose. |
Remarks: The reporting persons may be deemed to be members of a group with other affiliated entities that collectively are 10% owners, which group includes William E. Rose, Evelyn P. Rose, Evelyn P. Rose Fidelity Rollover IRA, Evelyn Potter Rose Survivor's Trust, Charles Henry Rose 2001 Trust, John William Rose 2002 Trust, Charles E. Gale, Charles E. Gale Fidelity Rollover IRA, Montrose Investments I, L.P. and Montrose Investments GP, LLC (collectively, the "Affiliated Rose Reporting Persons").
The reporting persons disclaim the existence of a group and disclaim beneficial ownership of any securities held by the other Affiliated Rose Reporting Persons, except to the extent of their respective pecuniary interests therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
ROSE WILLIAM 3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 | X | X |
| Member of 10% owner group |
Montrose Investments I, L.P. 3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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| Member of 10% owner group |
Montrose Investments GP, LLC 3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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| Member of 10% owner group |
Gale Charles E. 3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
| X |
| Member of 10% owner group |
Charles E. Gale Fidelity Rollover IRA 3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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| Member of 10% owner group |
Rose Evelyn P. 3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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| Member of 10% owner group |
Evelyn P. Rose Fidelity Rollover IRA 3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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| Member of 10% owner group |
Evelyn Potter Rose Survivor's Trust 3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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| Member of 10% owner group |
Signatures
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/s/ Charles E. Gale, Attorney-In-Fact for William E. Rose | | 12/5/2019 |
**Signature of Reporting Person | Date |
/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments I, L.P. | | 12/5/2019 |
**Signature of Reporting Person | Date |
/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments GP, LLC | | 12/5/2019 |
**Signature of Reporting Person | Date |
/s/ Charles E. Gale | | 12/5/2019 |
**Signature of Reporting Person | Date |
/s/ Charles E. Gale, Authorized Signatory for the Charles E. Gale Fidelity Rollover IRA | | 12/5/2019 |
**Signature of Reporting Person | Date |
/s/ Charles E. Gale, Attorney-In Fact for Evelyn P. Rose | | 12/5/2019 |
**Signature of Reporting Person | Date |
/s/ Charles E. Gale, Authorized Signatory for the Evelyn P. Rose Fidelity Rollover IRA | | 12/5/2019 |
**Signature of Reporting Person | Date |
/s/ Charles E. Gale, Trustee and Attorney-In-Fact for the Evelyn Potter Rose Survivor's Trust | | 12/5/2019 |
**Signature of Reporting Person | Date |
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