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