SEC Form 4 · accession 0000905148-16-002113
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Kent McGaughy Jr.
Director · 10% Owner
Period of report
Dec 7, 2016
Accepted (ET)
Dec 8, 2016 · 6:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001358762
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F2 | $22.57 | Dec 7, 2016 | A | 6,000 | A | — | Dec 7, 2026 | Class B common stock | 6,000 | 6,000 | D |
| Stock Option (right to buy)F3,F1,F2 | $22.57 | Dec 7, 2016 | A | 2,773 | A | — | Dec 7, 2026 | Class B common stock | 2,773 | 2,773 | D |
Explanation of responses
- F1The options vest in 2 equal installments on March 7, 2017 and June 7, 2017, subject to continued service through each vesting date.
- F2The 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.
- F3This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of future director fees of $40,312.50.