SEC Form 4 · accession 0000905148-16-002139
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CPMG Inc
Director · 10% Owner
Period of report
Dec 16, 2016
Accepted (ET)
Dec 20, 2016 · 4:28 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,F2 | Dec 16, 2016 | P | 20,033 | $22.9909 | A | 280,500 | I | By Willet Fund, LP |
| Class A common stockF1,F2 | Dec 16, 2016 | P | 1,330 | $22.9909 | A | 37,689 | I | By Crested Crane, LP |
| Class A common stockF1,F2 | Dec 16, 2016 | P | 7,990 | $22.9909 | A | 63,001 | I | By Flamingo Fund, LP |
| Class A common stockF1,F2 | Dec 16, 2016 | P | 29,040 | $22.9909 | A | 229,122 | I | By Gallopavo, LP |
| Class A common stockF1,F2 | Dec 16, 2016 | P | 64,250 | $22.9909 | A | 307,937 | I | By Roadrunner Fund, LP |
| Class A common stockF1,F2 | Dec 16, 2016 | P | 42,110 | $22.9909 | A | 332,230 | I | By Sandpiper Fund, LP |
| Class A common stockF2 | holding | — | — | — | 108,285 | I | By Mallard Fund, LP | |
| Class A common stockF2 | holding | — | — | — | 53,269 | I | By Blackwell Partners, LLC | |
| Class A common stockF2 | holding | — | — | — | 333,021 | I | By Yellow Warbler, LP | |
| Class A common stockF2 | holding | — | — | — | 160,265 | I | By Kestrel Fund, LP | |
| Class A common stockF2 | holding | — | — | — | 11,076 | I | By CD Fund, LP | |
| Class A common stockF2 | holding | — | — | — | 134 | I | By Redbird Life Sciences Partners, LP | |
| Class A common stock | holding | — | — | — | 113 | 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 16, 2016, within a $1.00 range. The actual prices for these transactions range from $22.885 to $23.00, 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 footnote (1) to this Form 4.
- F2The 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.