SEC Form 4 · accession 0001209191-18-041949
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith Wayne Ward
Officer — Chief Development Officer
Period of report
Jul 5, 2018
Accepted (ET)
Jul 9, 2018 · 11:16 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 stockF2 | Jul 5, 2018 | C | 4,750 | — | A | 4,750 | D | |
| Class A common stock | Jul 5, 2018 | S | 4,750 | $36.62 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3,F2 | $11.62 | Jul 5, 2018 | M | 4,750 | D | — | Jun 15, 2023 | Class B common stock | 4,750 | 49,037 | D |
| Class B common stockF2 | — | Jul 5, 2018 | M | 4,750 | A | — | — | Class A common stock | 4,750 | 4,750 | D |
| Class B common stockF2 | — | Jul 5, 2018 | C | 4,750 | D | — | — | Class A common stock | 4,750 | 0 | D |
Explanation of responses
- F1The exercise, conversion and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 18, 2017.
- F2The Class B common stock is convertible into Class A common stock on a one-for-one basis at the holder's election at any time. The conversion right of the Class B common stock has no expiration date.
- F3The options, representing a right to purchase a total of 82,287 shares, vested in twenty equal quarterly installments beginning on September 15, 2013.