0000899243-17-028267.txt : 20171208
0000899243-17-028267.hdr.sgml : 20171208
20171208172606
ACCESSION NUMBER: 0000899243-17-028267
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171207
FILED AS OF DATE: 20171208
DATE AS OF CHANGE: 20171208
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: 171247904
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: 171247899
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 Potter Rose Survivor's Trust
CENTRAL INDEX KEY: 0001724752
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37785
FILM NUMBER: 171247897
BUSINESS ADDRESS:
STREET 1: 3963 MAPLE AVE., STE. 200
CITY: DALLAS
STATE: TX
ZIP: 75219
BUSINESS PHONE: (214) 871-6809
MAIL ADDRESS:
STREET 1: 3963 MAPLE AVE., STE. 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: 171247903
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 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: 171247900
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: 171247902
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: 171247898
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: 171247901
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
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-12-07
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
1
0
0001675136
Puffin GP, LLC
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
1
0
0001675137
Montrose Investments I, L.P.
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
1
0
0001675042
Montrose Investments GP, LLC
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
1
0
0001675029
Gale Charles E.
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
1
0
0001675056
Estate of Edward W. Rose III
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
1
0
0001724752
Evelyn Potter Rose Survivor's Trust
3963 MAPLE AVENUE, SUITE 200
DALLAS
TX
75219
0
0
1
0
Class A Common Stock
2017-12-07
5
W
0
E
67735
0.00
D
0
I
See Footnotes
Class A Common Stock
2017-12-07
5
W
0
E
67735
0.00
A
0
I
See Footnotes
Class B Common Stock
2017-12-07
5
W
0
E
1877998
0.00
D
Class A Common Stock
1877998
0
I
See Footnotes
Class B Common Stock
2017-12-07
5
W
0
E
1877998
0.00
A
Class A Common Stock
1877998
0
I
See Footnotes
These shares were owned directly by the Estate of Edward W. Rose III, a ten percent owner of the issuer, for which Charles E. Gale serves as the executor. These shares were transferred to the Evelyn Potter Rose Survivor's Trust, for which Charles E. Gale and Evelyn P. Rose serve as co-trustees.
These shares are owned directly by the Evelyn Potter Rose Survivor's Trust, for which Charles E. Gale and Evelyn P. Rose serve as co-trustees.
The Class B common stock is convertible into Class A common stock on a one-for-one basis at the holder's election at any time. The conversion right of the Class B
common stock has no expiration date.
These shares were owned directly by the Estate of Edward W. Rose III, a ten percent owner of the issuer, for which Charles E. Gale serves as the executor. These shares were transferred to the Evelyn Potter Rose Survivor's Trust, for which Charles E. Gale and Evelyn P. Rose serve as co-trustees.
These shares are owned directly by the Evelyn Potter Rose Survivor's Trust, for which Charles E. Gale and Evelyn P. Rose serve as co-trustees.
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, Evelyn P. Rose, Evelyn P. Rose Fidelity Rollover IRA, Evelyn Potter Rose Survivor's Trust, 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
2017-12-07
/s/ Charles E. Gale, as Co-Manager of Puffin GP, LLC, the General Partner of Puffin Partners, L.P
2017-12-07
/s/ Charles E. Gale, Co-Manager of Puffin GP, LLC
2017-12-07
/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments I, L.P.
2017-12-07
/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments GP, LLC
2017-12-07
/s/ Charles E. Gale
2017-12-07
/s/ Charles E. Gale, Executor of Estate of Edward W. Rose III
2017-12-07
/s/ Charles E. Gale, Trustee and Attorney-In-Fact for the Evelyn Potter Rose Survivor's Trust
2017-12-07