Soni Manmeet Singh's Form 4 filing
Reata Pharmaceuticals IncRETA · filed Aug 1, 2023
- Accession no.
- 0001209191-23-044009
- Filed
- Aug 1, 2023
- Trade date
- Jul 28, 2023
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 2 non-derivative transactions and 3 derivative transactions. Open-market sales total $12.3M. It was filed 4 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 |
|---|---|
| Soni Manmeet SinghCIK 0001569769 | Officer (COO, CFO and President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
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 |
|---|---|---|---|---|---|---|---|---|
| Jul 28, 2023 | Class B common stock | MOption exerciseDisposed | −75,000 | $0.00 | $0 | 175,000 | Direct | |
| Jul 28, 2023 | Class A common stock | MOption exerciseAcquired | +75,000 | $72.70 | +$5,452,500 | 75,000 | Direct | |
| Jul 28, 2023 | Class A common stock | CConversionDisposed | −75,000 | –F1 | – | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
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.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.
- F3
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 $164.25 to $165.00. 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.
Referenced by the price of 1 transaction in Table I.