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