FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 05/25/2016 |
3. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC [ RETA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Class B common stock | (1)(2) | (1) | Class A common stock | 70,469 | (1) | D | |
Employee Stock Option (Right to Buy) | (3) | 05/01/2018 | Class B common stock(1) | 2,037 | $7.86 | D | |
Employee Stock Option (Right to Buy) | (4) | 02/03/2019 | Class B common stock(1) | 930 | $8.11 | D | |
Employee Stock Option (Right to Buy) | (5) | 06/15/2023 | Class B common stock(1) | 36,441 | $11.62 | D |
Explanation of Responses: |
1. The Class B common stock is convertible into Class A common stock on a one-for-one basis (a) at the holder's election at any time after the date that is six months following the date of the closing of the initial public offering of the company's Class A common stock, (b) at the holder's election prior to that time subject to certain conditions, or (c) at the option of the company's board of directors, in its sole discretion, at any time or multiple times from time to time on or before the closing of the initial public offering. The conversion right of the Class B common stock has no expiration date. |
2. Of the 70,469 shares of Class B common stock, 4,741 shares are restricted stock granted on October 5, 2011, which vest in twenty equal quarterly installments beginning on January 5, 2012. |
3. The option, representing a right to purchase a total of 20,375 shares, became exercisable in twenty equal quarterly installments beginning on August 1, 2008. The option was previously partially exercised with respect to 18,337 shares. |
4. The option, representing a right to purchase a total of 14,889 shares, became exercisable in sixteen equal quarterly installments beginning on May 3, 2009. The option was previously partially exercised with respect 13,959 shares. |
5. The option becomes exercisable in twenty equal quarterly installments beginning on September 15, 2013. |
Remarks: |
Chief Financial Officer and Vice President, Strategy Exhibit List: Exhibit 24 - Power of Attorney |
/s/ Michael D. Wortley, attorney-in-fact | 05/25/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |