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