SEC Form 4 · accession 0000905148-17-000940
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 13, 2017
Accepted (ET)
Dec 15, 2017 · 6:41 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 stockF7,F1,F6 | Dec 13, 2017 | P | 121,425 | $24.8838 | A | 2,789,748 | I | See footnote |
| Class A common stockF8,F1,F6 | Dec 13, 2017 | P | 300 | $23.9767 | A | 2,790,048 | I | See footnote |
| Class A common stockF9,F1,F6 | Dec 14, 2017 | P | 78,275 | $24.6528 | A | 2,868,323 | 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Common StockF2,F6,F5 | — | holding | — | — | — | — | — | Class A Common Stock | 51,095 | 51,095 | I |
| Class B Common StockF3,F6,F5 | — | holding | — | — | — | — | — | Class A Common Stock | 3,109 | 3,109 | I |
| Class B Common StockF4,F6,F5 | — | holding | — | — | — | — | — | Class A Common Stock | 30,478 | 30,478 | I |
| Class B Common StockF5 | — | holding | — | — | — | — | — | Class A Common Stock | 278,309 | 278,309 | D |
Explanation of responses
- F1These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager (the "CPMG Funds"). The Reporting Person is a co-director and co-shareholder of CPMG, Inc.
- 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 and Class B common stock are held in escrow for a charitable donee by American Stock Transfer & Trust Company, LLC.
- F5These shares of Class B common stock are convertible into Class A common stock on a one-for-one basis at the holder's election at any time for no additional consideration, and have no expiration date.
- 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.
- F7This price reflects the weighted average purchase price for open-market purchases on December 13, 2017, within a $1.00 range. The actual prices for these transactions range from $24.08 to $25.08 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 (7), (8) and (9) to this Form 4.
- F8This price reflects the weighted average purchase price for open-market purchases on December 13, 2017, within a $1.00 range. The actual prices for these transactions range from $23.97 to $23.99 inclusive.
- F9This price reflects the weighted average purchase price for open-market purchases on December 14, 2017, within a $1.00 range. The actual prices for these transactions range from $24.40 to $24.92, inclusive.