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Signature
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/s/ Tracy Herson, attorney-in-fact
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Stock symbol
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RETA
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Transactions as of
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Jul 28, 2023
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Transactions value $
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-$6,893,798
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Form type
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4
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Date filed
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8/1/2023, 04:47 PM
Transactions Table
Type |
Sym |
Class |
Transaction |
Value $ |
Shares |
Change % |
* Price $ |
Shares After |
Date |
Ownership |
Footnotes |
transaction |
RETA |
Class A common stock |
Conversion of derivative security |
|
+75K |
+116.5% |
|
139K |
Jul 28, 2023 |
Direct |
F1 |
transaction |
RETA |
Class A common stock |
Sale |
-$12.3M |
-75K |
-53.81% |
$164.62 |
64.4K |
Jul 28, 2023 |
Direct |
F2, F3 |
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) |
Options Exercise |
$0 |
-75K |
-30% |
$0.00 |
175K |
Jul 28, 2023 |
Class B common stock |
75K |
$72.70 |
Direct |
F1, F4 |
transaction |
RETA |
Class B common stock |
Options Exercise |
$5.45M |
+75K |
|
$72.70 |
75K |
Jul 28, 2023 |
Class A common stock |
75K |
|
Direct |
F1 |
transaction |
RETA |
Class B common stock |
Conversion of derivative security |
|
-75K |
-100% |
|
0 |
Jul 28, 2023 |
Class A common stock |
75K |
|
Direct |
F1 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
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).
Explanation of Responses: