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*
Khan Samina

(Last) (First) (Middle)
5320 LEGACY DRIVE

(Street)
PLANO TX 75024

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/07/2022
3. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC [ RETA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, Chief Medical Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 35,149(1) D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
Employee Stock Option (right to buy) (2) 07/07/2030 Class A common stock 20,000 $155.64 D
Employee Stock Option (right to buy) (3) 01/04/2031 Class A common stock 10,100 $121.29 D
Employee Stock Option (right to buy) (4) 01/03/2032 Class A common stock 50,000 $27.32 D
Explanation of Responses:
1. The shares represent 924 shares of Class A stock; 1,875 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; 5,100 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 September 1, 2022, September 1, 2023, and September 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 July 7, 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
/s/ Tracy Herson, attorney-in-fact 02/07/2022
** 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.