0000905148-17-000626.txt : 20170623 0000905148-17-000626.hdr.sgml : 20170623 20170623175545 ACCESSION NUMBER: 0000905148-17-000626 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170622 FILED AS OF DATE: 20170623 DATE AS OF CHANGE: 20170623 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Traweek James W JR CENTRAL INDEX KEY: 0001665299 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37785 FILM NUMBER: 17928571 MAIL ADDRESS: STREET 1: 2000 MCKINNEY AVE STREET 2: SUITE 2125 CITY: DALLAS STATE: TX ZIP: 75201 4 1 form4.xml X0306 4 2017-06-22 0001358762 REATA PHARMACEUTICALS INC RETA 0001665299 Traweek James W JR C/O CPMG, INC. 2000 MCKINNEY AVE., SUITE 2125 DALLAS TX 75201 true Class A common stock 2017-06-22 4 C 0 742289 A 2668323 I See footnote Class A common stock 16645 I By JET Land & Cattle Company, Ltd. Class A common stock 7056 I By 1 Thessalonians 5:18 Trust Class A common stock 572 I By Esme Grace McGaughy Trust Class A common stock 572 I By Mary Frances McGaughy Trust Class A common stock 2739 I See footnote Class A common stock 35 D Class B Common Stock 2017-06-22 4 P 0 1200000 25 A Class A Common Stock 1200000 2435146 I See footnote Class B Common Stock 2017-06-22 4 C 0 742289 0 D Class A Common Stock 742289 1692857 I See footnote Class B Common Stock Class A Common Stock 185263 185263 I By JET Land & Cattle Company, Ltd. Class B Common Stock Class A Common Stock 78539 78539 I By 1 Thessalonians 5:18 Trust Class B Common Stock Class A Common Stock 6364 6364 I By Esme Grace McGaughy Trust Class B Common Stock Class A Common Stock 6364 6364 I By Mary Frances McGaughy Trust Class B Common Stock Class A Common Stock 30478 30478 I See footnote Class B Common Stock Class A Common Stock 380 380 D These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager (the "CPMG Funds"). The Reporting Person is a co-director and co-shareholder of CPMG, Inc. The Reporting Person is the sole owner of the general partner of JET Land & Cattle Company, Ltd. The Reporting Person is trustee of 1 Thessalonians 5:18 Trust. The Reporting Person is trustee of Esme Grace McGaughy Trust. The Reporting Person is trustee of Mary Frances McGaughy Trust. These shares of Class A common stock and Class B common stock are held in escrow for a charitable donee by American Stock Transfer & Trust Company, LLC. These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert. These shares of Class B common stock are convertible into Class A common stock on a one-for-one basis at the holder's election at any time for no additional consideration, and have no expiration date. The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. /s/ James W. Traweek, Jr. 2017-06-23