SEC Form 4/A · accession 0001209191-16-135631
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
A/S Novo
10% Owner
Period of report
Jun 1, 2016
Accepted (ET)
Aug 5, 2016 · 11:41 am EDT
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 | Jun 1, 2016 | C | 215,794 | — | A | 965,794 | 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 | — | Jun 1, 2016 | C | 215,794 | D | — | — | CLASS A COMMON STOCK | 215,794 | 2,401,969 | D |
Explanation of responses
- F1This Form 4 amends the Form 4 filed on June 2, 2016 to include the conversion of Class B Common Stock to Class A Common Stock that occurred on the closing of the Issuer's initial public offering at the election of the Issuer.
- F2Class B Common Stock has no expiration date and is convertible at the holder's election on a 1-for-1 basis for no additional consideration into the Issuer's Class A Common Stock, at any time, subject to certain limitation in the lock-up agreement among the Reporting Person, the Issuer and the underwriters of the Issuer's initial public offering. The shares of Class B Common Stock must irrevocably convert to shares of Class A Common Stock upon sale or transfer.
Remarks
Novo A/S is a Danish limited liability company. The board of directors of Novo A/S (the "Novo Board"), which is currently comprised of Sten Scheibye, Goran Ando, Jeppe Christiansen, Steen Riisgaard and Per Wold-Olsen, has shared investment and voting control over the securities of the Issuer held by Novo A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares.