# EDGAR Filing Document

**Accession Number:** 0001358762
**File Stem:** 0001209191-23-017553
**Filing Date:** 2023-3
**Character Count:** 7098
**Document Hash:** cef41966486cbd71ff592684e16ce43d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-017553.hdr.sgml**: 20230309

**ACCESSION NUMBER**: 0001209191-23-017553

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230307

**FILED AS OF DATE**: 20230309

**DATE AS OF CHANGE**: 20230309

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Loewen Andrea
- **CENTRAL INDEX KEY:** 0001591100

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37785
- **FILM NUMBER:** 23720369

**MAIL ADDRESS:**
- **STREET 1:** C/O VITAL THERAPIES, INC.
- **STREET 2:** 15010 AVENUE OF SCIENCE, SUITE 200
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92128
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** REATA PHARMACEUTICALS INC
- **CENTRAL INDEX KEY:** 0001358762
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 113651945
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 5320 LEGACY DRIVE
- **CITY:** PLANO
- **STATE:** TX
- **ZIP:** 75024
- **BUSINESS PHONE:** 972-865-2219

**MAIL ADDRESS:**
- **STREET 1:** 5320 LEGACY DRIVE
- **CITY:** PLANO
- **STATE:** TX
- **ZIP:** 75024

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Loewen Andrea<br><sub>(Last) (First) (Middle)</sub><br>5320 LEGACY DRIVE<br><sub>(Street)</sub><br>PLANO, TX 75024<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-07 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_SVP, Global Regulatory Affairs_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>REATA PHARMACEUTICALS INC [ RETA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Class A common stock | 2023-03-07 |  | M |  | 15000 | A | $27.32 | 57793 | D |  |
| Class A common stock | 2023-03-07 |  | S |  | 17836 | D | 83.36<sup>(1)</sup> | 39957 | D |  |
| Class A common stock | 2023-03-07 |  | S |  | 1200 | D | 84.44<sup>(2)</sup> | 38757 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (right to buy) | $27.32 | 2023-03-07 |  | M |  |  | 15000 | <sup>(3)</sup> | 2032-01-03 | Class A common stock | 15000 | $0.00 | 35000 | D |  |

---

### Footnotes:

(1) 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 $83.00 to $83.90. 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.

(2) 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 $84.00 to $84.80. 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.

(3) The options began vesting in sixteen equal installments beginning on April 3, 2022. On February 28, 2023, based on the satisfaction of certain performance criteria, the options scheduled to vest on April 3, 2025, July 3, 2025, October 3, 2025, and January 3, 2026 vested immediately. The remainder of the vesting schedule will continue as originally stated, subject to continued service through each vesting date.

**Signature:** /s/ Tracy Herson, attorney-in-fact  
**Date:** 2023-03-09

### Remarks:

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).

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.**