SEC Form 4/A · accession 0000905148-16-001814
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
CPMG Inc
Director · 10% Owner
Period of report
Jun 1, 2016
Accepted (ET)
Aug 9, 2016 · 5:23 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001358762
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 132,614 | $11.00 | A | 160,265 | I | By Kestrel Fund, LP |
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 64,712 | $11.00 | A | 78,205 | I | By Mallard Fund, LP |
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 275,047 | $11.00 | A | 332,396 | I | By Yellow Warbler, LP |
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 53,119 | $11.00 | A | 53,119 | I | By Blackwell Partners, LLC |
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 16,366 | $11.00 | A | 16,366 | I | By Crested Crane, LP |
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 18,951 | $11.00 | A | 18,951 | I | By Flamingo Fund, LP |
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 68,912 | $11.00 | A | 68,912 | I | By Gallopavo, LP |
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 72,357 | $11.00 | A | 72,357 | I | By Roadrunner Fund, LP |
| Class A common stockF1,F2,F3 | Jun 1, 2016 | P | 99,922 | $11.00 | A | 99,922 | I | By Sandpiper Fund, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of Class A common stock ("Shares") were inadvertently omitted from the Reporting Person's Form 4 filed June 1, 2016, and subsequent Forms 4.
- F2These Shares were purchased in the Issuer's initial public offering, which closed on June 1, 2016.
- F3The Reporting Person is the investment manager of each of: Blackwell Partners, LLC; Crested Crane, LP; Flamingo Fund, LP; Gallopavo, LP; Roadrunner Fund, LP; Sandpiper Fund, LP; Mallard Fund, LP; Yellow Warbler, LP; Kestrel Fund, LP; Willet Fund, LP; CD Fund, LP; and Redbird Life Sciences Partners, LP. The Reporting Person disclaims beneficial ownership of the Shares except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Remarks
Mr. McGaughy, Jr., a co-director and co-shareholder of the Reporting Person, serves on the Issuer's Board of Directors (the "Board") as a representative of the Reporting Person. By virtue of his representation on the Board, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the Reporting Person is deemed to be a director by deputization.