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RETA Reata Pharmaceuticals Inc

172.36
0.00 (0.00%)
03 May 2024 - Closed
Delayed by 15 minutes
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

Statement of Changes in Beneficial Ownership (4)

05/12/2019 10:23pm

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
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

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
(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)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
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
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 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)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
ROSE WILLIAM
3963 MAPLE AVENUE, SUITE 200
DALLAS, TX 75219
XX
Member of 10% owner group
Montrose Investments I, L.P.
3963 MAPLE AVENUE, SUITE 200
DALLAS, TX 75219



Member of 10% owner group
Montrose Investments GP, LLC
3963 MAPLE AVENUE, SUITE 200
DALLAS, TX 75219



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



Member of 10% owner group
Rose Evelyn P.
3963 MAPLE AVENUE, SUITE 200
DALLAS, TX 75219



Member of 10% owner group
Evelyn P. Rose Fidelity Rollover IRA
3963 MAPLE AVENUE, SUITE 200
DALLAS, TX 75219



Member of 10% owner group
Evelyn Potter Rose Survivor's Trust
3963 MAPLE AVENUE, SUITE 200
DALLAS, TX 75219



Member of 10% owner group

Signatures
/s/ Charles E. Gale, Attorney-In-Fact for William E. Rose12/5/2019
**Signature of Reporting PersonDate

/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments I, L.P.12/5/2019
**Signature of Reporting PersonDate

/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments GP, LLC12/5/2019
**Signature of Reporting PersonDate

/s/ Charles E. Gale12/5/2019
**Signature of Reporting PersonDate

/s/ Charles E. Gale, Authorized Signatory for the Charles E. Gale Fidelity Rollover IRA12/5/2019
**Signature of Reporting PersonDate

/s/ Charles E. Gale, Attorney-In Fact for Evelyn P. Rose12/5/2019
**Signature of Reporting PersonDate

/s/ Charles E. Gale, Authorized Signatory for the Evelyn P. Rose Fidelity Rollover IRA12/5/2019
**Signature of Reporting PersonDate

/s/ Charles E. Gale, Trustee and Attorney-In-Fact for the Evelyn Potter Rose Survivor's Trust12/5/2019
**Signature of Reporting PersonDate

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