0000899243-19-028597.txt : 20191205 0000899243-19-028597.hdr.sgml : 20191205 20191205172258 ACCESSION NUMBER: 0000899243-19-028597 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191108 FILED AS OF DATE: 20191205 DATE AS OF CHANGE: 20191205 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: 191271098 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75201 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: 191271099 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: 191271100 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: Gale Charles E. CENTRAL INDEX KEY: 0001675029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 191271101 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: Charles E. Gale Fidelity Rollover IRA CENTRAL INDEX KEY: 0001675112 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 191271102 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: 191271103 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: 191271104 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: 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: 191271105 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 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: 5320 LEGACY DRIVE CITY: PLANO STATE: TX ZIP: 75024 BUSINESS PHONE: 972-865-2219 MAIL ADDRESS: STREET 1: 5320 LEGACY DRIVE CITY: PLANO STATE: TX ZIP: 75024 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-11-08 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 0001675137 Montrose Investments I, L.P. 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of 10% owner group 0001675042 Montrose Investments GP, LLC 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 0001675112 Charles E. Gale Fidelity Rollover IRA 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 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 0001675066 Evelyn P. Rose Fidelity Rollover IRA 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of 10% owner group 0001724752 Evelyn Potter Rose Survivor's Trust 3963 MAPLE AVENUE, SUITE 200 DALLAS TX 75219 0 0 0 1 Member of 10% owner group Class A common stock 2019-11-08 4 C 0 15869 A 29386 D Class A common stock 2019-11-18 4 S 0 400 205.10 D 28986 D Class A common stock 2019-11-18 4 S 0 600 200.00 D 28386 D Class A common stock 2019-11-19 4 S 0 2000 210.00 D 26386 D Class A common stock 2019-11-20 4 S 0 591 215.89 D 25795 D Class A common stock 2019-11-20 4 S 0 2000 210.00 D 23795 D Class A common stock 2019-11-20 4 S 0 2000 211.27 D 21795 D Class A common stock 2019-11-20 4 S 0 2000 215.32 D 19795 D Class A common stock 11618 D Class A common stock 879281 I By trust Class A common stock 7886 I See Footnote Class A common stock 20 I By trust Class A common stock 45 I By trust Class A common stock 29 I See Footnote Class A common stock 180909 I By Montrose Class B common stock 2019-11-08 4 C 0 15869 0.00 A Class A common stock 15869 0 D 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 are owned directly by Charles E. Gale. These shares are owned directly by William E. Rose, a director of the issuer. These shares are owned directly by the Survivor's Trust, a ten percent owner of the issuer, for Charles E. Gale and Evelyn P. Rose serve as co-trustees. These shares are owned directly by Evelyn P. Rose Fidelity Rollover IRA and indirectly by Evelyn R. Rose. 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 the Charles E. Gale Fidelity Rollover IRS and indirectly by Charles E. Gale. 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. 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, 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 2019-12-05 /s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments I, L.P. 2019-12-05 /s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments GP, LLC 2019-12-05 /s/ Charles E. Gale 2019-12-05 /s/ Charles E. Gale, Authorized Signatory for the Charles E. Gale Fidelity Rollover IRA 2019-12-05 /s/ Charles E. Gale, Attorney-In Fact for Evelyn P. Rose 2019-12-05 /s/ Charles E. Gale, Authorized Signatory for the Evelyn P. Rose Fidelity Rollover IRA 2019-12-05 /s/ Charles E. Gale, Trustee and Attorney-In-Fact for the Evelyn Potter Rose Survivor's Trust 2019-12-05