0000899243-16-027634.txt : 20160818 0000899243-16-027634.hdr.sgml : 20160818 20160818191712 ACCESSION NUMBER: 0000899243-16-027634 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160818 FILED AS OF DATE: 20160818 DATE AS OF CHANGE: 20160818 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: Gale Charles E. CENTRAL INDEX KEY: 0001675029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161841807 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: Evelyn P. Rose Fidelity Rollover IRA CENTRAL INDEX KEY: 0001675066 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 161841808 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: 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: 161841809 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: 161841810 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: 161841811 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75201 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-08-18 0 0001358762 REATA PHARMACEUTICALS INC RETA 0001193284 ROSE WILLIAM 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 1 0 1 1 Member of 10% owner group 0001675064 Rose Evelyn P. 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of 10% owner group 0001675048 Edward W. Rose Fidelity Rollover IRA 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of 10% owner group 0001675066 Evelyn P. Rose Fidelity Rollover IRA 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of 10% owner group 0001675029 Gale Charles E. 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 1 1 Member of 10% owner group Class A Common Stock 2016-08-18 5 W 0 E 7886 0.00 D 0 D Class A Common Stock 2016-08-18 5 W 0 E 7886 0.00 A 7886 D Class A Common Stock 11618 D Class A Common Stock 168720 I See Footnote Class A Common Stock 1426 D Class A Common Stock 29 I See Footnote Class A Common Stock 20 I By trust Class A Common Stock 45 I By trust Class A Common Stock 957000 I By Puffin Class A Common Stock 143000 I By Montrose Class B Common Stock 2016-08-18 5 W 0 E 87776 0.00 D Class A Common Stock 0 D Class B Common Stock 2016-08-18 5 W 0 E 87776 0.00 A Class A Common Stock 87776 D Class B Common Stock Class A Common Stock 129308 D Class B Common Stock Class A Common Stock 1877998 I See Footnote Class B Common Stock Class A Common Stock 15869 D Class B Common Stock Class A Common Stock 313 I See Footnote Class B Common Stock Class A Common Stock 215 I By trust Class B Common Stock Class A Common Stock 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. Following the death of Edward W. Rose III, these shares, which were owned directly by the Edward W. Rose Fidelity Rollover IRA (the "Edward Rose IRA"), were transferred pursuant to the terms of the Edward Rose IRA and for no additional consideration to the Evelyn P. Rose Fidelity Rollover IRA, as the beneficiary of the Edward Rose IRA, for the benefit of Evelyn P. Rose (Edward W. Rose III's widow). Such shares are owned indirectly by Evelyn P. Rose. 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 Charles E. Gale. These shares are owned directly by the Charles E. Gale Fidelity Rollover IRA and indirectly by Charles E. Gale. 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 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. 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. Mr. Rose and Mr. Gale disclaim pecuniary interest in the shares held by Puffin. The reporting persons may be deemed to be members of a group with other affiliated entities that collectively are 10% owners, which group includes William E. Rose, the Estate of Edward W. Rose III, Evelyn P. Rose, Evelyn P. Rose Fidelity Rollover IRA, Charles Henry Rose 2001 Trust, John William Rose 2002 Trust, Charles E. Gale, Charles E. Gale Fidelity Rollover IRA, Puffin Partners, L.P., Puffin GP, LLC, Montrose Investments I, L.P. and Montrose Investments GP, LLC (collectively, the "Affiliated Rose Reporting Persons"). The reporting persons disclaim the existence of a group and disclaim beneficial ownership of any securities held by the other Affiliated Rose Reporting Persons, except to the extent of their respective pecuniary interests therein. The Edward W. Rose Fidelity Rollover IRA no longer beneficially owns any shares of Class A Common Stock or Class B Common Stock and is no longer a member of the filing group reporting on this Form 4. /s/ Charles E. Gale, Attorney-In-Fact for William E. Rose 2016-08-18 /s/ Charles E. Gale, Attorney-In-Fact for Evelyn P. Rose 2016-08-18 /s/ Charles E. Gale, Executor (Edward W. Rose Fidelity Rollover IRA) 2016-08-18 /s/ Charles E. Gale, Attorney-In-Fact for Evelyn P. Rose Fidelity Rollover IRA 2016-08-18 /s/ Charles E. Gale 2016-08-18