SEC Form 4 · accession 0001209191-19-014057
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
Feb 25, 2019
Accepted (ET)
Feb 27, 2019 · 4:22 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 | Feb 25, 2019 | C | 15,183 | — | A | 23,803 | D | |
| Class A common stock | Feb 25, 2019 | S | 15,183 | $91.00 | D | 8,620 | D | |
| Class A common stockF2 | Feb 26, 2019 | C | 25,184 | — | A | 33,804 | D | |
| Class A common stock | Feb 26, 2019 | S | 16,817 | $91.00 | D | 16,987 | D | |
| Class A common stock | Feb 26, 2019 | S | 8,367 | $91.62 | D | 8,620 | 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 | $11.00 | Feb 25, 2019 | M | 15,183 | D | — | May 25, 2026 | Class B common stock | 15,183 | 92,967 | D |
| Class B common stockF2 | — | Feb 25, 2019 | M | 15,183 | A | — | — | Class A common stock | 15,183 | 15,183 | D |
| Class B common stockF2 | — | Feb 25, 2019 | C | 15,183 | D | — | — | Class A common stock | 15,183 | 0 | D |
| Employee Stock Option (right to buy)F3,F2 | $11.00 | Feb 26, 2019 | M | 16,817 | D | — | May 25, 2026 | Class B common stock | 16,817 | 76,150 | D |
| Employee Stock Option (right to buy)F4,F2 | $11.62 | Feb 26, 2019 | M | 8,367 | D | — | Jun 15, 2023 | Class B common stock | 8,367 | 0 | D |
| Class B common stockF2 | — | Feb 26, 2019 | M | 16,817 | A | — | — | Class A common stock | 16,817 | 16,817 | D |
| Class B common stockF2 | — | Feb 26, 2019 | M | 8,367 | A | — | — | Class A common stock | 8,367 | 25,184 | D |
| Class B common stockF2 | — | Feb 26, 2019 | C | 25,184 | D | — | — | Class A common stock | 25,184 | 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 27, 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 options, representing a right to purchase a total of 108,150 shares, vest in sixteen equal quarterly installments beginning on August 25, 2016.
- F4The options, representing a right to purchase a total of 82,287 shares, vested in twenty equal quarterly installments beginning on September 15, 2013.