SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
ROSE WILLIAM

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC [ RETA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) X Other (specify below)
Member of 10% owner group
3. Date of Earliest Transaction (Month/Day/Year)
11/08/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A common stock 11/08/2019 C 15,869 A (1) 29,386 D(2)
Class A common stock 11/18/2019 S 400 D $205.1 28,986 D(2)
Class A common stock 11/18/2019 S 600 D $200 28,386 D(2)
Class A common stock 11/19/2019 S 2,000 D $210 26,386 D(2)
Class A common stock 11/20/2019 S 591 D $215.89 25,795 D(2)
Class A common stock 11/20/2019 S 2,000 D $210 23,795 D(2)
Class A common stock 11/20/2019 S 2,000 D $211.27 21,795 D(2)
Class A common stock 11/20/2019 S 2,000 D $215.32 19,795 D(2)
Class A common stock 11,618 D(3)
Class A common stock 879,281 I By trust(4)
Class A common stock 7,886 I See Footnote(5)
Class A common stock 20 I By trust(6)
Class A common stock 45 I By trust(7)
Class A common stock 29 I See Footnote(8)
Class A common stock 180,909 I By Montrose(9)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Class B common stock (1) 11/08/2019 C 15,869 (1) (1) Class A common stock 15,869 $0.00 0 D(2)
1. Name and Address of Reporting Person*
ROSE WILLIAM

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Montrose Investments I, L.P.

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Montrose Investments GP, LLC

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Gale Charles E.

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Charles E. Gale Fidelity Rollover IRA

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Rose Evelyn P.

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Evelyn P. Rose Fidelity Rollover IRA

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Evelyn Potter Rose Survivor's Trust

(Last) (First) (Middle)
3963 MAPLE AVENUE, SUITE 200

(Street)
DALLAS TX 75219

(City) (State) (Zip)
Explanation of Responses:
1. 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.
2. These shares are owned directly by Charles E. Gale.
3. These shares are owned directly by William E. Rose, a director of the issuer.
4. These shares are owned directly by the Survivor's Trust, a ten percent owner of the issuer, for Charles E. Gale and Evelyn P. Rose serve as co-trustees.
5. These shares are owned directly by Evelyn P. Rose Fidelity Rollover IRA and indirectly by Evelyn R. Rose.
6. These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the Charles Henry Rose 2001 Trust.
7. These shares are owned indirectly by William E. Rose, a director of the issuer, as co-trustee of the John William Rose 2002 Trust.
8. These shares are owned directly by the Charles E. Gale Fidelity Rollover IRS and indirectly by Charles E. Gale.
9. These shares are owned directly by Montrose Investments I, L.P. ("Montrose"), and indirectly by William E. Rose, a director of the issuer, as sole shareholder and sole manager of the general partner of Montrose.
Remarks:
The reporting persons may be deemed to be members of a group with other affiliated entities that collectively are 10% owners, which group includes William E. Rose, Evelyn P. Rose, Evelyn P. Rose Fidelity Rollover IRA, Evelyn Potter Rose Survivor's Trust, Charles Henry Rose 2001 Trust, John William Rose 2002 Trust, Charles E. Gale, Charles E. Gale Fidelity Rollover IRA, Montrose Investments I, L.P. and Montrose Investments GP, LLC (collectively, the "Affiliated Rose Reporting Persons"). The reporting persons disclaim the existence of a group and disclaim beneficial ownership of any securities held by the other Affiliated Rose Reporting Persons, except to the extent of their respective pecuniary interests therein.
/s/ Charles E. Gale, Attorney-In-Fact for William E. Rose 12/05/2019
/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments I, L.P. 12/05/2019
/s/ Charles E. Gale, Attorney-In-Fact for Montrose Investments GP, LLC 12/05/2019
/s/ Charles E. Gale 12/05/2019
/s/ Charles E. Gale, Authorized Signatory for the Charles E. Gale Fidelity Rollover IRA 12/05/2019
/s/ Charles E. Gale, Attorney-In Fact for Evelyn P. Rose 12/05/2019
/s/ Charles E. Gale, Authorized Signatory for the Evelyn P. Rose Fidelity Rollover IRA 12/05/2019
/s/ Charles E. Gale, Trustee and Attorney-In-Fact for the Evelyn Potter Rose Survivor's Trust 12/05/2019
** 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 4 (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).
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