SEC Form 4 · accession 0001140361-17-047825
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James W Traweek Jr.
10% Owner
Period of report
Dec 29, 2017
Accepted (ET)
Dec 29, 2017 · 5:12 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 stockF8,F1,F7 | Dec 29, 2017 | P | 17,000 | $28.4715 | A | 2,912,523 | I | See Footnote |
| Class A common stockF2,F7 | holding | — | — | — | 16,645 | I | By JET Land & Cattle Company, Ltd. | |
| Class A common stockF3,F7 | holding | — | — | — | 7,056 | I | By 1 Thessalonians 5:18 Trust | |
| Class A common stockF4,F7 | holding | — | — | — | 572 | I | By Esme Grace McGaughy Trust | |
| Class A common stockF5,F7 | holding | — | — | — | 572 | I | By Mary Frances McGaughy Trust | |
| Class A common stockF6,F7 | holding | — | — | — | 2,739 | I | See footnote | |
| Class A common stock | holding | — | — | — | 35 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These 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.
- F2The Reporting Person is the sole owner of the general partner of JET Land & Cattle Company, Ltd.
- F3The Reporting Person is trustee of 1 Thessalonians 5:18 Trust.
- F4The Reporting Person is trustee of Esme Grace McGaughy Trust.
- F5The Reporting Person is trustee of Mary Frances McGaughy Trust.
- F6These shares of Class A common stock are held in escrow for a charitable donee by American Stock Transfer & Trust Company, LLC.
- 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.
- F8This price reflects the weighted average purchase price for open-market purchases on December 29, 2017, within a $1.00 range. The actual prices for these transactions range from $28.40 to $28.50 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 range set forth in this footnote (8) to this Form 4.