Initial Statement of Beneficial Ownership (3)
February 07 2022 - 04:19PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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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
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Loewen Andrea |
2. Date of Event Requiring Statement (MM/DD/YYYY)
2/7/2022
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3. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC [RETA]
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(Last)
(First)
(Middle)
5320 LEGACY DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP, Global Regulatory Affairs / |
(Street)
PLANO, TX 75024
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 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) |
Class A common stock | 32856 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
Employee Stock Option (right to buy) | (2) | 2/24/2030 | Class A common stock | 11250 | $196.23 | D | |
Employee Stock Option (right to buy) | (3) | 1/4/2031 | Class A common stock | 9000 | $121.29 | D | |
Employee Stock Option (right to buy) | (4) | 1/3/2032 | Class A common stock | 50000 | $27.32 | D | |
Explanation of Responses: |
(1) | The shares represent 543 shares of Class A common stock; 750 Restricted Stock Units (RSU), which vest in equal installments on April 26, 2022, April 26, 2023, and April 26, 2024, subject to continued service through each vesting date; 4,500 RSUs, which vest in equal installments on March 6, 2022, March 6, 2023, March 6, 2024, and March 6, 2025, subject to continued service through each vesting date; 2,250 RSUs, which vest in equal installments on March 1, 2022, March 1, 2023, and March 1, 2024, subject to continued service through each vesting date; and 25,000 RSUs, which vest in equal installments on March 6, 2023, March 6, 2024, March 6, 2025, and March 6, 2026, subject to continued service through each vesting date. |
(2) | The options vest 25% on February 24, 2021 and in 12 equal quarterly installments thereafter, subject to continued service through each vesting date. |
(3) | The options vest in sixteen equal quarterly installments beginning on April 4, 2021, subject to continued service through each vesting date. |
(4) | The options vest in sixteen equal quarterly installments beginning on April 3, 2022, subject to continued service through each vesting date. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Loewen Andrea 5320 LEGACY DRIVE PLANO, TX 75024 |
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| SVP, Global Regulatory Affairs |
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Signatures
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/s/ Tracy Herson, attorney-in-fact | | 2/7/2022 |
**Signature of Reporting Person | Date |
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