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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Reata Pharmaceuticals Inc | NASDAQ:RETA | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 172.36 | 189.75 | 172.36 | 0 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB APPROVAL
OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 |
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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 ] |
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 |
3963 MAPLE AVENUE, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
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DALLAS, TX 75219 |
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 |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
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1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Class A Common Stock | 12/7/2017 | W | V | 67735 | D | $0.00 | 0 | I | See Footnotes (1) | |
Class A Common Stock | 12/7/2017 | W | V | 67735 | A | $0.00 | 0 | I | See Footnotes (2) |
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 | (3) | 12/7/2017 | W | V | 1877998 | (3) | (3) | Class A Common Stock | 1877998 | $0.00 | 0 | I | See Footnotes (4) | ||
Class B Common Stock | (3) | 12/7/2017 | W | V | 1877998 | (3) | (3) | Class A Common Stock | 1877998 | $0.00 | 0 | I | See Footnotes (5) |
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, Puffin Partners, L.P., Puffin GP, LLC, 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 |
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Director | 10% Owner | Officer | Other | ||
ROSE WILLIAM
3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
X | X |
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Member of 10% owner group | |
Puffin Partners, L.P.
3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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X |
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Puffin GP, LLC
3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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X |
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Montrose Investments I, L.P.
3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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X |
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Montrose Investments GP, LLC
3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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X |
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Gale Charles E.
3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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X |
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Estate of Edward W. Rose III
3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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X |
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Evelyn Potter Rose Survivor's Trust
3963 MAPLE AVENUE, SUITE 200 DALLAS, TX 75219 |
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X |
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Signatures
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/s/ Charles E. Gale, Attorney-In-Fact for William E. Rose | 12/7/2017 | |
** Signature of Reporting Person |
Date
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/s/ Charles E. Gale, as Co-Manager of Puffin GP, LLC, the General Partner of Puffin Partners, L.P | 12/7/2017 | |
** Signature of Reporting Person |
Date
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/s/ Charles E. Gale, Co-Manager of Puffin GP, LLC | 12/7/2017 | |
** Signature of Reporting Person |
Date
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/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments I, L.P. | 12/7/2017 | |
** Signature of Reporting Person |
Date
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/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments GP, LLC | 12/7/2017 | |
** Signature of Reporting Person |
Date
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/s/ Charles E. Gale | 12/7/2017 | |
** Signature of Reporting Person |
Date
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/s/ Charles E. Gale, Executor of Estate of Edward W. Rose III | 12/7/2017 | |
** Signature of Reporting Person |
Date
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/s/ Charles E. Gale, Trustee and Attorney-In-Fact for the Evelyn Potter Rose Survivor's Trust | 12/7/2017 | |
** Signature of Reporting Person |
Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1 Year Reata Pharmaceuticals Chart |
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