0000899243-17-000042.txt : 20170103
0000899243-17-000042.hdr.sgml : 20170103
20170103130845
ACCESSION NUMBER: 0000899243-17-000042
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161229
FILED AS OF DATE: 20170103
DATE AS OF CHANGE: 20170103
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: 17501067
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: Montrose Investments GP, LLC
CENTRAL INDEX KEY: 0001675042
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37785
FILM NUMBER: 17501068
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: Montrose Investments I, L.P.
CENTRAL INDEX KEY: 0001675137
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37785
FILM NUMBER: 17501069
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: Puffin GP, LLC
CENTRAL INDEX KEY: 0001675136
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37785
FILM NUMBER: 17501070
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: 17501072
MAIL ADDRESS:
STREET 1: 300 CRESCENT COURT
STREET 2: SUITE 700
CITY: DALLAS
STATE: TX
ZIP: 75201
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: 17501066
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: Puffin Partners, L.P.
CENTRAL INDEX KEY: 0001675040
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37785
FILM NUMBER: 17501071
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
2016-12-29
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
0001675040
Puffin Partners, L.P.
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
0
1
Member of a 10% owner group
0001675136
Puffin GP, LLC
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
0
1
Member of a 10% owner group
0001675137
Montrose Investments I, L.P.
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
0
1
Member of a 10% owner group
0001675042
Montrose Investments GP, LLC
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
1
1
Member of a 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
Class A Common Stock
2016-12-29
4
J
0
145454
0.00
D
811546
I
By Puffin
Class A Common Stock
2016-12-29
4
J
0
37909
0.00
A
180909
I
By Montrose
Class A Common Stock
2016-12-29
4
J
0
12091
0.00
A
13517
D
Class A Common Stock
2016-12-29
4
G
0
100985
0.00
D
67735
I
See footnote
Class A Common Stock
11618
D
Class A Common Stock
7886
D
Class A Common Stock
29
D
Class A Common Stock
20
I
By trust
Class A Common Stock
45
I
By trust
Pro rata distribution of 145,454 shares of Class A common stock from Puffin to its limited partners.
Acquisition of 37,909 shares of Class A common stock from Puffin in its pro rata distribution to its limited partners.
Acquisition of 12,091 shares of Class A common stock from Puffin in its pro rata distribution to its limited partners.
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.
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 Charles E. Gale.
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 William E. Rose, a director of the issuer.
These shares are owned directly by the Evelyn P. Rose Fidelity Rollover IRA and indirectly by Evelyn P. Rose.
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.
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.
/s/ Charles E. Gale, Attorney-In-Fact for William E. Rose
2016-12-29
/s/ Charles E. Gale, as Co-Manager of Puffin GP, LLC, the General Partner of Puffin Partners, L.P
2016-12-29
/s/ Charles E. Gale, Co-Manager of Puffin GP, LLC
2016-12-29
/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments I, L.P.
2016-12-29
/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments GP, LLC
2016-12-29
/s/ Charles E. Gale
2016-12-29
/s/ Charles E. Gale, Executor of Estate of Edward W. Rose III
2016-12-29