SEC Form 4 · accession 0000899243-18-028928
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF3 | Nov 13, 2018 | J | 811,546 | $0.00 | D | 0 | I | By Puffin |
| Class A Common StockF4 | Nov 13, 2018 | J | 811,546 | $0.00 | A | 879,281 | I | By trust |
| Class A Common StockF5 | holding | — | — | — | 11,618 | D | ||
| Class A Common StockF6 | holding | — | — | — | 7,886 | I | See Footnote | |
| Class A Common StockF7 | holding | — | — | — | 20 | I | By trust | |
| Class A Common StockF8 | holding | — | — | — | 45 | I | By trust | |
| Class A Common StockF9 | holding | — | — | — | 13,517 | D | ||
| Class A Common StockF10 | holding | — | — | — | 29 | I | See Footnote | |
| Class A Common StockF11 | holding | — | — | — | 180,909 | I | By Montrose |
Table II — derivative securities
Explanation of responses
- F1Pro rata distribution of 811, 546 shares of Class A common stock from Puffin Partners, L.P. ("Puffin"), to the Evelyn Potter Rose Survivor's Trust (the "Survivor's Trust"), its limited partner and the beneficial owner of such shares.
- F10These shares are owned directly by the Charles E. Gale Fidelity Rollover IRA and indirectly by Charles E. Gale.
- F11These 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.
- F2Receipt of 811,546 shares of Class A common stock beneficially owned by the Survivor's Trust as a pro rata distribution from Puffin.
- F3These shares were owned directly by Puffin. Each of (a) William E. Rose, a director of the issuer, and (b) Charles E. Gale serve as co-managers of the general partner of Puffin. Mr. Rose and Mr. Gale disclaim pecuniary interest in the shares held by Puffin.
- F4These shares are owned directly by the Survivor's Trust, a ten percent owner of the issuer, for which Charles E. Gale and Evelyn P. Rose serve as co-trustees.
- F5These shares are owned directly by William E. Rose, a director of the issuer.
- F6These shares are owned directly by Evelyn P. Rose Fidelity Rollover IRA and indirectly by Evelyn P. Rose.
- F7These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the Charles Henry Rose 2001 Trust.
- F8These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the John William Rose 2002 Trust.
- F9These shares are owned directly by Charles E. Gale.
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"). As a result of the transaction reported in this Form 4, Puffin Partners, L.P. and Puffin GP, LLC are exiting the group. 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. Form 2 of 2.