Statement of Changes in Beneficial Ownership (4)
18 December 2019 - 9:31AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Wilson Jason Douglas |
2. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC
[
RETA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive VP of Operations |
(Last)
(First)
(Middle)
5320 LEGACY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/16/2019 |
(Street)
PLANO, TX 75024
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Class A common stock | 12/16/2019 | | C(1) | | 10000 | A | (2) | 17350 | D | |
Class A common stock | 12/16/2019 | | C | | 5600 | A | (2) | 22950 | D | |
Class A common stock | 12/16/2019 | | S(1) | | 500 | D | $200.1728 (3) | 22450 | D | |
Class A common stock | 12/16/2019 | | S(1) | | 1300 | D | $201.6504 (4) | 21150 | D | |
Class A common stock | 12/16/2019 | | S(1) | | 3400 | D | $202.51 (5) | 17750 | D | |
Class A common stock | 12/16/2019 | | S(1) | | 2320 | D | $203.5958 (6) | 15430 | D | |
Class A common stock | 12/16/2019 | | S(1) | | 1480 | D | $204.542 (7) | 13950 | D | |
Class A common stock | 12/16/2019 | | S(1) | | 200 | D | $205.075 (8) | 13750 | D | |
Class A common stock | 12/16/2019 | | S(1) | | 400 | D | $206.885 (9) | 13350 | D | |
Class A common stock | 12/16/2019 | | S(1) | | 400 | D | $207.48 (10) | 12950 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $11.00 | 12/16/2019 | | M (1) | | | 10000 | (11) | 5/25/2026 | Class B common stock (2) | 10000 | $0.00 | 34881 | D | |
Class B common stock | (2) | 12/16/2019 | | M (1) | | 10000 | | (2) | (2) | Class A common stock | 10000 | $11.00 | 28827 | D | |
Class B common stock | (2) | 12/16/2019 | | C (1) | | | 10000 | (2) | (2) | Class A common stock | 10000 | (2) | 18827 | D | |
Class B common stock | (2) | 12/16/2019 | | C | | | 5600 | (2) | (2) | Class A common stock | 5600 | (2) | 13227 | D | |
Explanation of Responses: |
(1) | The 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. |
(2) | The 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. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $200.01 to $200.575. 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. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $201.18 to $202.00. 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. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $202.005 to $202.95. 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. |
(6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $203.01 to $204.00. 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. |
(7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $204.20 to $204.99. 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. |
(8) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $205.05 to $205.10. 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. |
(9) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $206.88 to $206.89. 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. |
(10) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $207.46 to $207.50. 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. |
(11) | The options, representing a right to purchase a total of 101,881 shares, vest in sixteen equal quarterly installments beginning on August 25, 2016, subject to continued service through each vesting date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Wilson Jason Douglas 5320 LEGACY DRIVE PLANO, TX 75024 |
|
| Executive VP of Operations |
|
Signatures
|
/s/ Michael D. Wortley, attorney-in-fact | | 12/17/2019 |
**Signature of Reporting Person | Date |
Reata Pharmaceuticals (NASDAQ:RETA)
Historical Stock Chart
From Apr 2024 to May 2024
Reata Pharmaceuticals (NASDAQ:RETA)
Historical Stock Chart
From May 2023 to May 2024