SEC Form 3
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)
| 2. Date of Event Requiring Statement (Month/Day/Year) 05/25/2016 | 3. Issuer Name and Ticker or Trading Symbol REATA PHARMACEUTICALS INC [ RETA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
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) | (1) | Class A common stock | 140,926 | (1) | D(2) | |
Class B common stock | (1) | (1) | Class A common stock | 2,046,718 | (1) | D(3) | |
Class B common stock | (1) | (1) | Class A common stock | 95,662 | (1) | D(4) | |
Class B common stock | (1) | (1) | Class A common stock | 17,295 | (1) | D(5) | |
Class B common stock | (1) | (1) | Class A common stock | 342 | (1) | D(6) | |
Class B common stock | (1) | (1) | Class A common stock | 235 | (1) | I | By trust(7) |
Class B common stock | (1) | (1) | Class A common stock | 537 | (1) | I | By trust(8) |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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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. These shares are owned directly by William E. Rose, a director of the issuer. |
3. These shares are owned directly by the Estate of Edward W. Rose III, a ten percent owner of the issuer, for which Charles E. Gale serves as executor. |
4. These shares are owned directly by the Edward W. Rose Fidelity Rollover IRA and indirectly by Evelyn P. Rose.. |
5. These shares are owned directly by Charles E. Gale. |
6. These shares are owned directly by Charles E. Gale Fidelity Rollover IRA, and indirectly by Charles E. Gale. |
7. These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the Charles Henry Rose 2001 Trust. |
8. These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the John William Rose 2002 Trust. |
Remarks: |
Each Reporting Owner disclaims beneficial ownership of the reporting securities in excess of their pecuniary interests herein. Exhibit List: Exhibit 24.1 - Power of Attorney (William E. Rose) Exhibit 24.2 - Power of Attorney (Evelyn P. Rose) |
/s/ Charles E. Gale, Attorney-In-Fact for William E. Rose | 05/25/2016 | |
/s/ Charles E. Gale, Executor | 05/25/2016 | |
/s/ Charles E. Gale, Attorney-In-Fact for Evelyn P. Rose | 05/25/2016 | |
/s/ Charles E. Gale, Executor | 05/25/2016 | |
/s/ Charles E. Gale | 05/25/2016 | |
/s/ Charles E. Gale, Authorized Signatory for Charles E. Gale Fidelity Rollover IRA | 05/25/2016 | |
/s/ Charles E. Gale, Attorney-In-Fact for Charles Henry Rose 2001 Trust | 05/25/2016 | |
/s/ Charles E. Gale, Attorney-In-Fact for John William Rose 2002 Trust | 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. |