SEC Form 4 · accession 0000905148-16-002140
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 16, 2016
Accepted (ET)
Dec 20, 2016 · 4:30 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,F5,F6 | Dec 16, 2016 | P | 164,753 | $22.9909 | A | 1,916,642 | I | See footnote |
| Class A common stockF2,F6 | holding | — | — | — | 4,591 | I | By Lagos Trust | |
| Class A common stockF3,F6 | holding | — | — | — | 280 | I | By Traweek Children's Trust | |
| Class A common stockF4,F6 | 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 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 trustee of Lagos Trust.
- F3The Reporting Person is trustee of Traweek Children's Trust.
- F4These shares of Class A common stock are held in escrow for a charitable donee by American Stock Transfer &Trust Company, LLC.
- F5These 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.
- F6The 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.