0000899243-16-021423.txt : 20160602 0000899243-16-021423.hdr.sgml : 20160602 20160602062138 ACCESSION NUMBER: 0000899243-16-021423 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160601 FILED AS OF DATE: 20160602 DATE AS OF CHANGE: 20160602 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: REATA PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001358762 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 113651945 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2801 GATEWAY DRIVE SUITE 150 CITY: IRVING STATE: TX ZIP: 75063 BUSINESS PHONE: 972-865-2206 MAIL ADDRESS: STREET 1: 2801 GATEWAY DRIVE SUITE 150 CITY: IRVING STATE: TX ZIP: 75063 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Edward W. Rose Fidelity Rollover IRA CENTRAL INDEX KEY: 0001675048 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161691082 BUSINESS ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 BUSINESS PHONE: (214) 871-6809 MAIL ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Estate of Edward W. Rose III CENTRAL INDEX KEY: 0001675056 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161691084 BUSINESS ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 BUSINESS PHONE: (214) 871-6809 MAIL ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: John William Rose 2002 Trust CENTRAL INDEX KEY: 0001675060 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161691085 BUSINESS ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 BUSINESS PHONE: (214) 871-6809 MAIL ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSE WILLIAM CENTRAL INDEX KEY: 0001193284 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161691088 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gale Charles E. CENTRAL INDEX KEY: 0001675029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161691089 MAIL ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Charles Henry Rose 2001 Trust CENTRAL INDEX KEY: 0001675105 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161691086 BUSINESS ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 BUSINESS PHONE: (214) 871-6809 MAIL ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rose Evelyn P. CENTRAL INDEX KEY: 0001675064 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161691083 MAIL ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Charles E. Gale Fidelity Rollover IRA CENTRAL INDEX KEY: 0001675112 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161691087 BUSINESS ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 BUSINESS PHONE: (214) 871-6809 MAIL ADDRESS: STREET 1: C/O CARDINAL INVESTMENT COMPANY, INC. STREET 2: 3963 MAPLE AVENUE, SUITE 200 CITY: DALLAS STATE: TX ZIP: 75219 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-06-01 0 0001358762 REATA PHARMACEUTICALS INC RETA 0001193284 ROSE WILLIAM 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 1 0 0 1 Member of 10% owner group 0001675056 Estate of Edward W. Rose III 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 1 1 Member of a 10% owner group 0001675064 Rose Evelyn P. 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of a 10% owner group 0001675048 Edward W. Rose Fidelity Rollover IRA 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of a 10% owner group 0001675029 Gale Charles E. 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of a 10% owner group 0001675112 Charles E. Gale Fidelity Rollover IRA 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of a 10% owner group 0001675105 Charles Henry Rose 2001 Trust 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of a 10% owner group 0001675060 John William Rose 2002 Trust 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of a 10% owner group Class A Common Stock 2016-06-01 4 C 0 11618 A 11618 D Class A Common Stock 2016-06-01 4 C 0 168720 A 168720 D Class A Common Stock 2016-06-01 4 C 0 7886 A 7886 D Class A Common Stock 2016-06-01 4 C 0 1426 A 1426 D Class A Common Stock 2016-06-01 4 C 0 29 A 29 D Class A Common Stock 2016-06-01 4 C 0 20 A 20 I By trust Class A Common Stock 2016-06-01 4 C 0 45 A 45 I By trust Class A Common Stock 2016-06-01 4 P 0 957000 11.00 A 957000 I By Puffin Class A Common Stock 2016-06-01 4 P 0 143000 11.00 A 143000 I By Montrose Class B Common Stock 2016-06-01 4 C 0 11618 0.00 D Class A Common Stock 11618 129308 D Class B Common Stock 2016-06-01 4 C 0 168720 0.00 D Class A Common Stock 168720 1877998 D Class B Common Stock 2016-06-01 4 C 0 7886 0.00 D Class A Common Stock 7886 87776 D Class B Common Stock 2016-06-01 4 C 0 1426 0.00 D Class A Common Stock 1426 15869 D Class B Common Stock 2016-06-01 4 C 0 29 0.00 D Class A Common Stock 29 313 D Class B Common Stock 2016-06-01 4 C 0 20 0.00 D Class A Common Stock 20 215 I By trust Class B Common Stock 2016-06-01 4 C 0 45 0.00 D Class A Common Stock 45 492 I By trust The Class B common stock is convertible into Class A common stock on a one-for-one basis (a) at the holder's election at any time after the date that is six months following the date of the closing of the initial public offering of the company's Class A common stock, (b) at the holder's election prior to that time subject to certain conditions, or (c) at the option of the company's board of directors, in its sole discretion, at any time or multiple times from time to time on or before the closing of the initial public offering. The conversion right of the Class B common stock has no expiration date. These shares are owned directly by William E. Rose, a director of the issuer. These shares are owned directly by the Estate of Edward W. Rose III, a ten percent owner of the issuer, for which Charles E. Gale serves as executor. These shares are owned directly by Edward W. Rose Fidelity Rollover IRA and indirectly by Evelyn P. Rose. These shares are owned directly by Charles E. Gale. These shares are owned directly by the Charles E. Gale Fidelity Rollover IRA and indirectly by Charles E. Rose. These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the Charles Henry Rose 2001 Trust. These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the John William Rose 2002 Trust. These shares are owned directly by Puffin Partners, L.P. ("Puffin"). Each of (a) William E. Rose, a director of the issuer, and (b) Charles E. Gale serve as co-managers of the general partner of Puffin. These shares are owned directly by Montrose Investments I, L.P. ("Montrose"), and indirectly by William E. Rose, a director of the issuer, as sole shareholder and sole manager of the general partner of Montrose. Each Reporting Owner disclaims beneficial ownership of the reporting securities in excess of their pecuniary interests therein. /s/ Charles E. Gale, Attorney-In-Fact for William E. Rose 2016-06-01 /s/ Charles E. Gale, Executor 2016-06-01 /s/ Charles E. Gale, Attorney-In-Fact for Evelyn P. Rose 2016-06-01 /s/ Charles E. Gale, Executor 2016-06-01 /s/ Charles E. Gale 2016-06-01 /s/ Charles E. Gale, Authorized Signatory 2016-06-01 /s/ Charles E. Gale, Attorney-In-Fact for Charles Henry Rose 2001 Trust 2016-06-01 /s/ Charles E. Gale, Attorney-In-Fact for John William Rose 2002 Trust 2016-06-01