Bir Dawn Carter's Form 4 filing
Reata Pharmaceuticals Inc (RETA) · filed Mar 8, 2023
- Accession no.
- 0001209191-23-017258
- Filed
- Mar 8, 2023
- Trade date
- Mar 6-7, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 6 derivative transactions. Open-market sales total $8.50M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Bir Dawn CarterCIK 0001688712 | Officer (Chief Commercial Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 6, 2023 | Class A common stock | CConversionAcquired | +48,370 | – | – | 96,879 | Direct | |
| Mar 6, 2023 | Class A common stock | SSaleDisposed | −40,134 | $89.30 | −$3,583,966.2 | 56,745 | Direct | |
| Mar 6, 2023 | Class A common stock | SSaleDisposed | −14,820 | $90.26 | −$1,337,653.2 | 41,925 | Direct | |
| Mar 7, 2023 | Class A common stock | CConversionAcquired | +41,630 | – | – | 83,555 | Direct | |
| Mar 7, 2023 | Class A common stock | SSaleDisposed | −36,049 | $85.08 | −$3,067,048.92 | 47,506 | Direct | |
| Mar 7, 2023 | Class A common stock | SSaleDisposed | −5,793 | $85.90 | −$497,618.7 | 41,713 | Direct | |
| Mar 7, 2023 | Class A common stock | SSaleDisposed | −200 | $86.67 | −$17,334 | 41,513 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 6, 2023 | Class B common stock | MOption exerciseDisposed | −48,370 | $0.00 | $0 | 41,630 | Direct | |
| Mar 6, 2023 | Class A common stock | MOption exerciseAcquired | +48,370 | $21.05 | +$1,018,188.5 | 48,370 | Direct | |
| Mar 6, 2023 | Class A common stock | CConversionDisposed | −48,370 | – | – | 0 | Direct | |
| Mar 7, 2023 | Class B common stock | MOption exerciseDisposed | −41,630 | $0.00 | $0 | 0 | Direct | |
| Mar 7, 2023 | Class A common stock | MOption exerciseAcquired | +41,630 | $21.05 | +$876,311.5 | 41,630 | Direct | |
| Mar 7, 2023 | Class A common stock | CConversionDisposed | −41,630 | – | – | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.