SEC Form 4 · accession 0000905148-16-002130
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 14, 2016
Accepted (ET)
Dec 16, 2016 · 4:17 pm EST
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,F6,F7 | Dec 14, 2016 | P | 6,189 | $21.3651 | A | 1,749,189 | I | See footnote |
| Class A common stockF2,F6,F7 | Dec 15, 2016 | P | 2,700 | $22.0498 | A | 1,751,889 | I | See footnote |
| Class A common stockF3,F7 | holding | — | — | — | 4,591 | I | By Lagos Trust | |
| Class A common stockF4,F7 | holding | — | — | — | 280 | I | By Traweek Children's Trust | |
| Class A common stockF5,F7 | holding | — | — | — | 2,739 | I | See footnote | |
| Class A common stock | holding | — | — | — | 25,004 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This price reflects the weighted average purchase price for open-market purchases on December 14, 2016, within a $1.00 range. The actual prices for these transactions range from $20.68 to $21.50, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.
- F2This price reflects the weighted average purchase price for open-market purchases on December 15, 2016, within a $1.00 range. The actual prices for these transactions range from $21.25 to $22.50, inclusive.
- F3The Reporting Person is trustee of Lagos Trust.
- F4The Reporting Person is trustee of Traweek Children's Trust.
- F5These shares of Class A common stock are held in escrow for a charitable donee by American Stock Transfer &Trust Company, LLC.
- F6These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.
- F7The Reporting Person disclaims beneficial ownership of the shares except to the extent of his 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.