SEC Form 4 · accession 0001209191-19-003397
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elaine Castellanos
Officer — Principal Accounting Officer
Period of report
Jan 11, 2019
Accepted (ET)
Jan 11, 2019 · 3:10 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 stockF1 | Jan 11, 2019 | C | 2,138 | — | A | 2,138 | 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)F2,F1 | $8.11 | Jan 11, 2019 | M | 180 | D | — | Feb 3, 2019 | Class B common stock | 180 | 0 | D |
| Employee Stock Option (right to buy)F3,F1 | $7.41 | Jan 11, 2019 | M | 1,958 | D | — | Jan 15, 2020 | Class B common stock | 1,958 | 0 | D |
| Class B common stockF1 | — | Jan 11, 2019 | M | 180 | A | — | — | Class A common stock | 180 | 180 | D |
| Class B common stockF1 | — | Jan 11, 2019 | M | 1,958 | A | — | — | Class A common stock | 1,958 | 2,138 | D |
| Class B common stockF1 | — | Jan 11, 2019 | C | 2,138 | D | — | — | Class A common stock | 2,138 | 0 | D |
Explanation of responses
- F1The 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.
- F2The options vested in sixteen equal quarterly installments beginning on May 3, 2009.
- F3The options vested in sixteen equal quarterly installments beginning on April 15, 2010.