Statement of Changes in Beneficial Ownership (4)
June 22 2020 - 4:40PM
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
*
Nielsen Jack |
2. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC
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RETA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
5320 LEGACY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/10/2020 |
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(Street)
PLANO, TX 75024
(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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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 |
| Stock Option (right to buy) | $130.92 | 6/10/2020 | | A | | 6300 | | (1) | 6/10/2030 | Class A common stock | 6300 | $0.00 | 6300 | D | |
| Stock Option (right to buy) | $130.92 | 6/10/2020 | | A | | 1278 | | (2) | 6/10/2030 | Class A common stock | 1278 | $82.15 (3) | 1278 | D | |
| Explanation of Responses: |
| (1) | The options vest in 4 equal installments on September 10, 2020, December 10, 2020, March 10, 2021, and June 10, 2021, subject to continued service through each vesting date. |
| (2) | The options vest in the following installments: 319 shares on September 10, 2020 and December 10, 2020, respectively, and 320 shares on March 10, 2021 and June 10, 2021, respectively, subject to continued service through each vesting date. |
| (3) | This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of future director fees of $105,000. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Nielsen Jack
5320 LEGACY DRIVE
PLANO, TX 75024 | X |
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Signatures
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| /s/ Tracy Herson, attorney-in-fact | | 6/22/2020 |
| **Signature of Reporting Person | Date |
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