Sec Form 4 Filing - Traweek James W JR @ REATA PHARMACEUTICALS INC - 2019-12-30

Insider filing report for Changes in Beneficial Ownership
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FORM 4
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Traweek James W JR
2. Issuer Name and Ticker or Trading Symbol
REATA PHARMACEUTICALS INC [ RETA]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O CPMG, INC., 2000 MCKINNEY AVE., SUITE 2125
3. Date of Earliest Transaction (MM/DD/YY)
12/30/2019
(Street)
DALLAS, TX75201
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 12/30/2019 C 30,000 A 46,645 I By JET Land & Cattle Company, Ltd. ( 2 ) ( 8 )
Class A common stock 33,217 I See footnote ( 6 ) ( 8 )
Class A common stock 3,063,567 I See footnote ( 1 ) ( 8 )
Class A common stock 7,056 I By 1 Thessalonians 5:18 Trust ( 3 ) ( 8 )
Class A common stock 572 I By Esme Grace McGaughy Trust ( 4 ) ( 8 )
Class A common stock 572 I By Mary Frances McGaughy Trust ( 5 ) ( 8 )
Class A common stock 35 D
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Class B Common Stock ( 7 ) 12/30/2019 C 30,000 ( 7 ) ( 7 ) Class A Common Stock 30,000 $ 0 ( 7 ) 155,263 I By JET Land & Cattle Company, Ltd. ( 2 ) ( 8 )
Class B Common Stock ( 7 ) ( 7 ) ( 7 ) Class A Common Stock 0 1,692,857 I See footnote ( 1 ) ( 8 )
Class B Common Stock ( 7 ) ( 7 ) ( 7 ) Class A Common Stock 0 78,539 I By 1 Thessalonians 5:18 Trust ( 3 ) ( 8 )
Class B Common Stock ( 7 ) ( 7 ) ( 7 ) Class A Common Stock 0 6,364 I By Esme Grace McGaughy Trust ( 4 ) ( 8 )
Class B Common Stock ( 7 ) ( 7 ) ( 7 ) Class A Common Stock 0 6,364 I By Mary Frances McGaughy Trust ( 5 ) ( 8 )
Class B Common Stock ( 7 ) ( 7 ) ( 7 ) Class A Common Stock 0 380 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Traweek James W JR
C/O CPMG, INC.
2000 MCKINNEY AVE., SUITE 2125
DALLAS, TX75201
X
Signatures
/s/ James W. Traweek, Jr. 01/02/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares of Class A common stock and Class B common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.
( 2 )The Reporting Person is the sole owner of the general partner of JET Land & Cattle Company, Ltd.
( 3 )The Reporting Person is trustee of 1 Thessalonians 5:18 Trust.
( 4 )The Reporting Person is trustee of Esme Grace McGaughy Trust.
( 5 )The Reporting Person is trustee of Mary Frances McGaughy Trust.
( 6 )These shares of Class A common stock are held in escrow for a charitable donee by American Stock Transfer & Trust Company, LLC.
( 7 )These shares of Class B common stock are convertible into Class A common stock on a one-for-one basis at the holder's election at any time for no additional consideration, and have no expiration date.
( 8 )The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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