# EDGAR Filing Document

**Accession Number:** 0001662411
**File Stem:** 0001209191-23-001220
**Filing Date:** 2023-1
**Character Count:** 10107
**Document Hash:** e3c4f37de649afd7d93f2b36daecc5c1
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-001220.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001209191-23-001220

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230103

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Huff James Warren
- **CENTRAL INDEX KEY:** 0001662411

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37785
- **FILM NUMBER:** 23508290

**MAIL ADDRESS:**
- **STREET 1:** C/O REATA PHARMACEUTICALS, INC.
- **STREET 2:** 2801 GATEWAY DR. SUITE 150
- **CITY:** IRVING
- **STATE:** TX
- **ZIP:** 75063
**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>Huff James Warren<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>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Executive Officer_ |
| **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 | 2023-01-03 |  | A |  | 47025<sup>(1)</sup> | A | $0.00 | 47025 | D |  |
| Class A common stock |  |  |  |  |  |  |  | 12500<sup>(2)</sup> | I | By The 2021 JWH GRAT |
| Class A common stock |  |  |  |  |  |  |  | 12500<sup>(3)</sup> | I | By The 2021 WBH GRAT |
| Class A common stock |  |  |  |  |  |  |  | 1583 | I | By Huff 2010 Descendants' Trust FBO Connor Huff |
| Class A common stock |  |  |  |  |  |  |  | 1583 | I | By Huff 2010 Descendants' Trust FBO Dillon Huff |

---

## 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 |
| Class B common stock | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(4)</sup> | <sup>(4)</sup> | Class A common stock | 575806 |  | 575806 | D |  |
| Class B common stock | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(4)</sup> | <sup>(4)</sup> | Class A common stock | 17617 |  | 17617 | I | By Huff 2010 Descendants' Trust FBO Connor Huff |
| Class B common stock | <sup>(4)</sup> |  |  |  |  |  |  | <sup>(4)</sup> | <sup>(4)</sup> | Class A common stock | 17617 |  | 17617 | I | By Huff 2010 Descendants' Trust FBO Dillon Huff |
| Employee Stock Option (right-to-buy) | $36.71 | 2023-01-03 |  | A |  | 190950 |  | <sup>(5)</sup> | 2033-01-03 | Class A common stock | 190950 | $0.00 | 190950 | D |  |
| Employee Stock Option (right to buy) | $11.00 |  |  |  |  |  |  | <sup>(6)</sup> | 2026-05-25 | Class B common stock<sup>(4)</sup> | 103636 |  | 103636 | D |  |
| Employee Stock Option (right to buy) | $22.57 |  |  |  |  |  |  | <sup>(7)</sup> | 2026-12-07 | Class B common stock<sup>(4)</sup> | 199900 |  | 199900 | D |  |
| Employee Stock Option (right to buy) | $24.75 |  |  |  |  |  |  | <sup>(8)</sup> | 2027-12-06 | Class B common stock<sup>(4)</sup> | 249200 |  | 249200 | D |  |
| Employee Stock Option (right to buy) | $55.73 |  |  |  |  |  |  | <sup>(9)</sup> | 2029-01-02 | Class B common stock<sup>(4)</sup> | 114500 |  | 114500 | D |  |
| Employee Stock Option (right to buy) | $55.73 |  |  |  |  |  |  | <sup>(10)</sup> | 2029-01-02 | Class B common stock<sup>(4)</sup> | 57250 |  | 57250 | D |  |
| Employee Stock Option (right to buy) | $55.73 |  |  |  |  |  |  | <sup>(11)</sup> | 2029-01-02 | Class B common stock<sup>(4)</sup> | 57250 |  | 57250 | D |  |
| Employee Stock Option (right to buy) | $207.20 |  |  |  |  |  |  | <sup>(12)</sup> | 2030-01-02 | Class B common stock<sup>(4)</sup> | 40000 |  | 40000 | D |  |
| Employee Stock Option (right to buy) | $121.29 |  |  |  |  |  |  | <sup>(13)</sup> | 2031-01-04 | Class A common stock | 44600 |  | 44600 | D |  |

---

### Footnotes:

(1) 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.

(2) 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.

(3) 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.

(4) 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.

(5) 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.

(6) The options vested in sixteen equal quarterly installments beginning on August 25, 2016.

(7) The options vest in twenty equal quarterly installments beginning on March 7, 2017, subject to continued service through each vesting date.

(8) The options vest in sixteen equal quarterly installments beginning on March 6, 2018, subject to continued service through each vesting date.

(9) The options vest in sixteen equal quarterly installments beginning on April 2, 2019, subject to continued service through each vesting date.

(10) 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.

(11) 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.

(12) The options vest in sixteen equal quarterly installments beginning on April 2, 2020, subject to continued service through each vesting date.

(13) The options vest in sixteen equal quarterly installments beginning on April 4, 2021, subject to continued service through each vesting date.

**Signature:** /s/ Tracy Herson, attorney-in-fact  
**Date:** 2023-01-04

### 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.**