SEC Form 4/A · accession 0001140361-17-047643
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
CPMG Inc
Director · 10% Owner
Period of report
Dec 13, 2017
Accepted (ET)
Dec 28, 2017 · 6:38 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 stockF5,F1,F4 | Dec 13, 2017 | P | 19,982 | $24.8838 | A | 19,982 | I | By Managed Account for Trustees of the University of Pennsylvania |
| Class A common stockF5,F2,F4 | Dec 13, 2017 | P | 49 | $23.9767 | A | 20,031 | I | By Managed Account for Trustees of the University of Pennsylvania |
| Class A common stockF5,F3,F4 | Dec 14, 2017 | P | 14,866 | $24.6528 | A | 34,897 | I | By Managed Account for Trustees of the University of Pennsylvania |
| Class A common stockF5,F4 | holding | — | — | — | 442,560 | I | By Gallopavo, LP |
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 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 (1), (2) and (3) to this Form 4.
- F2This 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.
- F3This 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.
- F4The Reporting Person is the investment manager of each of Gallopavo, LP and a managed account for Trustees of the University of Pennsylvania. 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.
- F5On December 15, 2017, the Reporting Persons inadvertently reported that these shares were purchased for the account of Gallopavo, LP. As correctly noted on this amendment, the shares were purchased for a managed account for Trustees of the University of Pennsylvania. Gallopavo, LP has not engaged in trades since the report filed by the Reporting Persons on June 23, 2017.
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.