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Filing Details

Accession Number:: 0001209191-23-015713
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-03-03 17:09:36
Reporting Period:: 2023-03-01

Accepted Time:: 2023-03-03 17:09:36
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1358762	Reata Pharmaceuticals Inc	RETA	Pharmaceutical Preparations (2834)	113651945

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1662411	Warren James Huff	5320 Legacy Drive Plano TX 75024	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Class A Common Stock	Acquisiton	2023-03-01	75,000	$0.00	111,158	No	4	C	Direct
Class A Common Stock	Disposition	2023-03-02	8,104	$81.49	103,054	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	12,132	$82.20	90,922	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	9,660	$83.31	81,262	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	7,439	$84.33	73,823	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	6,395	$85.25	67,428	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	3,475	$86.44	63,953	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	4,034	$87.61	59,919	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	12,826	$88.59	47,093	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	5,742	$89.49	41,351	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	4,623	$90.57	36,728	No	4	S	Direct
Class A Common Stock	Disposition	2023-03-02	570	$91.12	36,158	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Class B common stock	Disposition	2023-03-01	75,000	$0.00	75,000	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
212,903			No	4	C	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	12,500	Indirect	By The 2021 JWH GRAT
Class A Common Stock	1,583	Indirect	By Connor Warren Huff Exempt Trust Dated 9/23/2019
Class A Common Stock	1,583	Indirect	By Dillon Bailey Huff Exempt Trust Dated 9/23/2019

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Class A Common Stock	Class B common stock	$0.00		17,617	17,617	Indirect
Class A Common Stock	Class B common stock	$0.00		17,617	17,617	Indirect
Class B Common Stock	Employee Stock Option (right to buy)	$11.00	2026-05-25	51,818	51,818	Direct
Class B Common Stock	Employee Stock Option (right to buy)	$22.57	2026-12-07	99,950	99,950	Direct
Class B Common Stock	Employee Stock Option (right to buy)	$24.75	2027-12-06	124,600	124,600	Direct
Class B Common Stock	Employee Stock Option (right to buy)	$55.73	2029-01-02	57,250	57,250	Direct
Class B Common Stock	Employee Stock Option (right to buy)	$55.73	2029-01-02	28,625	28,625	Direct
Class B Common Stock	Employee Stock Option (right to buy)	$55.73	2029-01-02	28,625	28,625	Direct
Class B Common Stock	Employee Stock Option (right to buy)	$207.20	2030-01-02	20,133	20,133	Direct
Class A Common Stock	Employee Stock Option (right to buy)	$121.29	2031-01-04	23,968	23,968	Direct
Class A Common Stock	Employee Stock Option (right-to-buy)	$36.71	2033-01-03	146,824	146,824	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	17,617	17,617	Indirect
	17,617	17,617	Indirect
2026-05-25	51,818	51,818	Direct
2026-12-07	99,950	99,950	Direct
2027-12-06	124,600	124,600	Direct
2029-01-02	57,250	57,250	Direct
2029-01-02	28,625	28,625	Direct
2029-01-02	28,625	28,625	Direct
2030-01-02	20,133	20,133	Direct
2031-01-04	23,968	23,968	Direct
2033-01-03	146,824	146,824	Direct

Footnotes

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.
Since the date of the reporting person's last ownership report, he transferred 287,903 shares of Class B common stock, and employee stock options to purchase 410,735 shares of Class B common stock, options to purchase 64,758 shares of Class A common stock and RSUs to purchase 10,867 shares of Class A common stock to his ex-spouse pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-spouse.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $80.85 to $81.84. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $81.86 to $82.85. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $82.87 to $83.86. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $83.89 to $84.87. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $84.90 to $85.70. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $86.01 to $87.00. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $87.02 to $88.00. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $88.10 to $89.09. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $89.11 to $90.105. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $90.11 to $91.10. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on one day at prices ranging from $91.12 to $91.14. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
The options vested in sixteen equal quarterly installments beginning on August 25, 2016.
The options vested in twenty equal quarterly installments beginning on March 7, 2017, subject to continued service through each vesting date.
The options vested in sixteen equal quarterly installments beginning on March 6, 2018, subject to continued service through each vesting date.
The options vested 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 7,156 shares and the option was set to vest as to 21,469 shares in twelve equal quarterly installments beginning on January 14, 2020, subject to continued service through each vesting date. This vesting schedule has been updated to reflect the transfer of options to the reporting person's ex-spouse as described in footnote 2 above.
On November 11, 2019, based on the satisfaction of certain performance criteria, the option vested as to 7,156 shares and the option was set to vest as to 21,469 shares in twelve equal quarterly installments beginning on February 11, 2020, subject to continued service through each vesting date. This vesting schedule has been updated to reflect the transfer of options to the reporting person's ex-spouse as described in footnote 2 above.
The options vest in sixteen equal quarterly installments beginning on April 2, 2020, subject to continued service through each vesting date.
The options vest in sixteen equal quarterly installments beginning on April 4, 2021, subject to continued service through each vesting date.
The options vest 1/16th of each grant on March 6, May 15, August 15, and November 15 of each year, subject to continued service through each vesting date.