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