SEC Form 4 · accession 0001209191-19-003934
REATA PHARMACEUTICALS INC · RETA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jason Douglas Wilson
Officer — Chief Financial Officer
Period of report
Jan 15, 2019
Accepted (ET)
Jan 16, 2019 · 4:26 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 stockF2 | Jan 15, 2019 | C | 4,000 | — | A | 4,000 | D | |
| Class A common stockF3 | Jan 15, 2019 | S | 2,728 | $70.9397 | D | 1,272 | D | |
| Class A common stockF4 | Jan 15, 2019 | S | 1,272 | $71.5923 | 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)F5,F2 | $11.00 | Jan 15, 2019 | M | 4,000 | D | — | May 25, 2026 | Class B common stock | 4,000 | 97,881 | D |
| Class B common stockF2 | — | Jan 15, 2019 | M | 4,000 | A | — | — | Class A common stock | 4,000 | 57,646 | D |
| Class B common stockF2 | — | Jan 15, 2019 | C | 4,000 | D | — | — | Class A common stock | 4,000 | 53,646 | 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 December 12, 2018.
- 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $70.44 to $71.39. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $71.48 to $72.18. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.
- F5The options, representing a right to purchase a total of 101,881 shares, vest in twenty equal quarterly installments beginning on August 25, 2016.