Statement of Changes in Beneficial Ownership (4)
November 12 2019 - 5:42PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Wilson Jason Douglas |
2. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC
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RETA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive VP of Operations |
(Last)
(First)
(Middle)
5320 LEGACY DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/14/2019 |
(Street)
PLANO, TX 75024
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (right to buy) | $55.73 | 10/14/2019 | | A | | 17250 | | (1) | 1/2/2029 | Class B common stock (2) | 17250 | $0.00 | 17250 (1) | D | |
Employee Stock Option (right to buy) | $55.73 | 11/11/2019 | | A | | 17250 | | (1) | 1/2/2029 | Class B common stock (2) | 17250 | $0.00 | 17250 (1) | D | |
Explanation of Responses: |
(1) | On January 2, 2019, the reporting person was granted an option to purchase 69,000 shares of Class B common stock. As previously reported, the option vests as to 34,500 shares in sixteen equal quarterly installments beginning on April 2, 2019, subject to continued service through each vesting date. On October 14, 2019, based on the satisfaction of certain performance criteria, the option vested as to 4,312 shares and the option was set to vest as to 12,938 shares in twelve equal quarterly installments beginning on January 14, 2020, subject to continued service through each vesting date. On November 11, 2019, based on the satisfaction of certain performance criteria, the option vested as to 4,312 shares and the option was set to vest as to 12,938 shares in twelve equal quarterly installments beginning on February 11, 2020, subject to continued service through each vesting date. |
(2) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Wilson Jason Douglas 5320 LEGACY DRIVE PLANO, TX 75024 |
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| Executive VP of Operations |
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Signatures
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/s/ Michael D. Wortley, attorney-in-fact | | 11/12/2019 |
**Signature of Reporting Person | Date |
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