James Warren Huff - Jan 3, 2023 Form 4 Insider Report for REATA PHARMACEUTICALS INC (RETA)

Role
Chief Executive Officer, Director
Signature
/s/ Tracy Herson, attorney-in-fact
Stock symbol
RETA
Transactions as of
Jan 3, 2023
Transactions value $
$0
Form type
4
Date filed
1/4/2023, 04:35 PM
Next filing
Mar 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RETA Class A common stock Award $0 +47K $0.00 47K Jan 3, 2023 Direct F1
holding RETA Class A common stock 12.5K Jan 3, 2023 By The 2021 JWH GRAT F2
holding RETA Class A common stock 12.5K Jan 3, 2023 By The 2021 WBH GRAT F3
holding RETA Class A common stock 1.58K Jan 3, 2023 By Huff 2010 Descendants' Trust FBO Connor Huff
holding RETA Class A common stock 1.58K Jan 3, 2023 By Huff 2010 Descendants' Trust FBO Dillon Huff

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction RETA Employee Stock Option (right-to-buy) Award $0 +191K $0.00 191K Jan 3, 2023 Class A common stock 191K $36.71 Direct F5
holding RETA Class B common stock 576K Jan 3, 2023 Class A common stock 576K Direct F4
holding RETA Class B common stock 17.6K Jan 3, 2023 Class A common stock 17.6K By Huff 2010 Descendants' Trust FBO Connor Huff F4
holding RETA Class B common stock 17.6K Jan 3, 2023 Class A common stock 17.6K By Huff 2010 Descendants' Trust FBO Dillon Huff F4
holding RETA Employee Stock Option (right to buy) 104K Jan 3, 2023 Class B common stock 104K $11.00 Direct F4, F6
holding RETA Employee Stock Option (right to buy) 200K Jan 3, 2023 Class B common stock 200K $22.57 Direct F4, F7
holding RETA Employee Stock Option (right to buy) 249K Jan 3, 2023 Class B common stock 249K $24.75 Direct F4, F8
holding RETA Employee Stock Option (right to buy) 115K Jan 3, 2023 Class B common stock 115K $55.73 Direct F4, F9
holding RETA Employee Stock Option (right to buy) 57.3K Jan 3, 2023 Class B common stock 57.3K $55.73 Direct F4, F10
holding RETA Employee Stock Option (right to buy) 57.3K Jan 3, 2023 Class B common stock 57.3K $55.73 Direct F4, F11
holding RETA Employee Stock Option (right to buy) 40K Jan 3, 2023 Class B common stock 40K $207.20 Direct F4, F12
holding RETA Employee Stock Option (right to buy) 44.6K Jan 3, 2023 Class A common stock 44.6K $121.29 Direct F13
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares represent Restricted Stock Units, which 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.
F2 Includes shares of Class A common stock previously held by The 2019 JWH GRAT and The 2020 JWH GRAT, which were transferred to The 2021 JWH GRAT.
F3 Includes shares of Class A common stock previously held by The 2019 WBH GRATand The 2020 WBH GRAT, which were transferred to The 2021 WBH GRAT.
F4 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.
F5 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.
F6 The options vested in sixteen equal quarterly installments beginning on August 25, 2016.
F7 The options vest in twenty equal quarterly installments beginning on March 7, 2017, subject to continued service through each vesting date.
F8 The options vest in sixteen equal quarterly installments beginning on March 6, 2018, subject to continued service through each vesting date.
F9 The options vest in sixteen equal quarterly installments beginning on April 2, 2019, subject to continued service through each vesting date.
F10 On October 14, 2019, based on the satisfaction of certain performance criteria, the option vested as to 14,312 shares and the option was set to vest as to 42,938 shares in twelve equal quarterly installments beginning on January 14, 2020, subject to continued service through each vesting date.
F11 On November 11, 2019, based on the satisfaction of certain performance criteria, the option vested as to 14,312 shares and the option was set to vest as to 42,938 shares in twelve equal quarterly installments beginning on February 11, 2020, subject to continued service through each vesting date.
F12 The options vest in sixteen equal quarterly installments beginning on April 2, 2020, subject to continued service through each vesting date.
F13 The options vest in sixteen equal quarterly installments beginning on April 4, 2021, subject to continued service through each vesting date.