Ruff Shamim

SEC source: 0000899243-23-019539 · doc4.xml · derivative · entry 8

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 2,137 shares

Expires 2033-06-07

F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · price: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · derivative.exercise_date: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

SEC source: 0000899243-23-019539 · doc4.xml · derivative · entry 7

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 576 shares

Expires 2033-06-07

F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · price: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · derivative.exercise_date: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

SEC source: 0000899243-23-019539 · doc4.xml · derivative · entry 6

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 1,405 shares

Expires 2032-06-08

F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · price: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · derivative.exercise_date: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

SEC source: 0000899243-23-019539 · doc4.xml · derivative · entry 5

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 443 shares

Expires 2032-06-08

F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · price: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · derivative.exercise_date: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

SEC source: 0000899243-23-019539 · doc4.xml · derivative · entry 4

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 780 shares

Expires 2031-06-10

F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · price: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · derivative.exercise_date: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

SEC source: 0000899243-23-019539 · doc4.xml · derivative · entry 3

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 5,000 shares

Expires 2031-06-10

F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · price: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · derivative.exercise_date: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

SEC source: 0000899243-23-019539 · doc4.xml · derivative · entry 2

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 3,334 shares

Expires 2031-04-15

F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · price: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · derivative.exercise_date: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

SEC source: 0000899243-23-019539 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger, dated July 28, 2023, by and among the Issuer, Biogen Inc. ("Biogen") and River Acquisition, Inc., the Issuer became a wholly-owned subsidiary of Biogen upon consummation of the merger (the "Effective Time"). At the Effective Time, (a) each of the Issuer's outstanding shares of Class A common stock and Class B common stock (collectively, "Common Stock") was canceled and extinguished and automatically converted into the right to receive $172.50 in cash (the "Merger Consideration"), without interest, less any withholding taxes, (b) each of the Issuer's outstanding restricted stock units ("RSUs") was automatically canceled and terminated and converted into the right to receive an amount in cash equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such RSU immediately prior to the Effective Time multiplied by (ii) the Merger Consideration, (Continued in Footnote 2)

F2 · price: (Continued from Footnote 1) without interest, subject to any applicable withholding taxes, and (c) each of the Issuer's outstanding unexercised stock options, whether vested or unvested, was automatically canceled and terminated and converted into the right to receive an amount in cash, withot uinterest, equal to the product of (i) the number of shares of the Issuer's Common Stock underlying such option immediately prior to the Effective Time multiplied by (ii) the amount, if any, by which the Merger Consideration exceeded the exercise price per share of such option, subject to any applicable withholding taxes. As a result, stock options with a per share exercise price equal to or greater than the Merger Consideration were canceled without additional consideration.

SEC source: 0001209191-23-044004 · doc4.xml · derivative · entry 7

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 319 shares

Expires 2031-04-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The options vested on July 15, 2021.

SEC source: 0001209191-23-044004 · doc4.xml · derivative · entry 6

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,334

Underlying: Class A common stock · 6,666 shares

Expires 2031-04-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options vest in three equal yearly installments through April 15, 2024, subject to continued service through each vesting date.

SEC source: 0001209191-23-044004 · doc4.xml · derivative · entry 5

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 1,250 shares

Expires 2031-04-15

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The options vested on July 15, 2021.

SEC source: 0001209191-23-044004 · doc4.xml · nonDerivative · entry 4

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,359

F1 · kind: The exercise and sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 14, 2023.

F2 · price: 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 $164.69. 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.

SEC source: 0001209191-23-044004 · doc4.xml · nonDerivative · entry 3

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,594

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-23-044004 · doc4.xml · nonDerivative · entry 2

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,275

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-23-044004 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,609

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-23-035879 · doc4.xml · derivative · entry 4

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,137

Underlying: Class A common stock · 2,137 shares

Expires 2033-06-07

F3 · derivative.exercise_date: The option vests in 4 equal installments on September 7, 2023, December 7, 2023, March 7, 2024, and June 5, 2024, subject to continued service through each vesting date.

SEC source: 0001209191-23-035879 · doc4.xml · derivative · entry 3

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 576

Underlying: Class A common stock · 576 shares

Expires 2033-06-07

F4 · price: This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of future director fees of $42,441.

F3 · derivative.exercise_date: The option vests in 4 equal installments on September 7, 2023, December 7, 2023, March 7, 2024, and June 5, 2024, subject to continued service through each vesting date.

SEC source: 0001209191-23-035879 · doc4.xml · nonDerivative · entry 2

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,359

F1 · shares: The shares represent Restricted Stock Units (RSUs), which vest on June 5, 2024, subject to continued service through the vesting date.

SEC source: 0001209191-23-035879 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,677

F1 · shares: The shares represent Restricted Stock Units (RSUs), which vest on June 5, 2024, subject to continued service through the vesting date.

F2 · price: These RSUs were issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of future director fees of $42,499.

SEC source: 0001209191-23-018231 · doc4.xml · derivative · entry 7

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,405

Underlying: Class A common stock · 4,215 shares

Expires 2032-06-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The options vest in four equal installments on September 14, 2022, December 8, 2022, March 1, 2023, and June 7, 2023, subject to continued service through each vesting date.

SEC source: 0001209191-23-018231 · doc4.xml · derivative · entry 6

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443

Underlying: Class A common stock · 1,326 shares

Expires 2032-06-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The options vest in four equal installments on September 14, 2022, December 8, 2022, March 1, 2023, and June 7, 2023, subject to continued service through each vesting date.

SEC source: 0001209191-23-018231 · doc4.xml · derivative · entry 5

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A common stock · 199 shares

Expires 2032-01-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options vested in two equal installments on March 10, 2022 and June 10, 2022.

SEC source: 0001209191-23-018231 · doc4.xml · nonDerivative · entry 4

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,223

F1 · price: 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 $83.67 to $83.86. 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.

SEC source: 0001209191-23-018231 · doc4.xml · nonDerivative · entry 3

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,963

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-23-018231 · doc4.xml · nonDerivative · entry 2

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,748

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-23-018231 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,422

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-22-035423 · doc4.xml · derivative · entry 4

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,620

Underlying: Class A common stock · 5,620 shares

Expires 2032-06-08

F3 · derivative.exercise_date: The options vest in four equal installments on September 14, 2022, December 8, 2022, March 1, 2023, and June 7, 2023, subject to continued service through the vesting date.

SEC source: 0001209191-22-035423 · doc4.xml · derivative · entry 3

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,769

Underlying: Class A common stock · 1,769 shares

Expires 2032-06-08

F4 · price: These options were issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of director fees of $42,500.00.

F3 · derivative.exercise_date: The options vest in four equal installments on September 14, 2022, December 8, 2022, March 1, 2023, and June 7, 2023, subject to continued service through the vesting date.

SEC source: 0001209191-22-035423 · doc4.xml · nonDerivative · entry 2

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,223

F1 · shares: The shares represent Restricted Stock Units (RSU), which vest in four equal installments on September 14, 2022, December 8, 2022, March 1, 2023, and June 7, 2023, subject to continued service through the vesting date.

SEC source: 0001209191-22-035423 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,340

F1 · shares: The shares represent Restricted Stock Units (RSU), which vest in four equal installments on September 14, 2022, December 8, 2022, March 1, 2023, and June 7, 2023, subject to continued service through the vesting date.

F2 · price: These RSUs were issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of director fees of $42,500.00.

SEC source: 0001209191-22-001627 · doc4.xml · derivative · entry 2

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199

Underlying: Class A common stock · 199 shares

Expires 2032-01-03

F4 · price: These options were issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of director fees of $3,225.

F3 · derivative.exercise_date: The options vest in 2 equal installments on March 10, 2022 and June 10, 2022, subject to continued service through each vesting date.

SEC source: 0001209191-22-001627 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118

F1 · shares: The shares represent Restricted Stock Units (RSU), which vest on June 8, 2022, subject to continued service through the vesting date.

F2 · price: These RSUs were issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of director fees of $3,225.

SEC source: 0001209191-21-040142 · doc4.xml · derivative · entry 2

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 780

Underlying: Class A common stock · 780 shares

Expires 2031-06-10

F2 · price: This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of director fees of $65,000.

F1 · derivative.exercise_date: The options vest in 4 equal installments on September 10, 2021, December 10, 2021, March 10, 2022, and June 10, 2022, subject to continued service through each vesting date.

SEC source: 0001209191-21-040142 · doc4.xml · derivative · entry 1

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Class A common stock · 5,000 shares

Expires 2031-06-10

F1 · derivative.exercise_date: The options vest in 4 equal installments on September 10, 2021, December 10, 2021, March 10, 2022, and June 10, 2022, subject to continued service through each vesting date.

SEC source: 0001209191-21-026923 · doc4.xml · derivative · entry 3

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319

Underlying: Class A common stock · 319 shares

Expires 2031-04-15

F4 · price: This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of future director fees of $16,875

F3 · derivative.exercise_date: The options vest on July 15, 2021, subject to continued service through the vesting date.

SEC source: 0001209191-21-026923 · doc4.xml · derivative · entry 2

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Class A common stock · 10,000 shares

Expires 2031-04-15

F2 · derivative.exercise_date: The options vest in three equal yearly installments through April 15, 2024, subject to continued service through each vesting date.

SEC source: 0001209191-21-026923 · doc4.xml · derivative · entry 1

Ruff Shamim · CIK 0001685986 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250

Underlying: Class A common stock · 1,250 shares

Expires 2031-04-15

F1 · derivative.exercise_date: The options vest on July 15, 2021, subject to continued service through the vesting date.

SEC source: 0001209191-18-033112 · doc4.xml · derivative · entry 3

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,432 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On March 10, 2017, the reporting person was granted restricted stock units that vest based on the Company's satisfaction of certain performance criteria. The first performance criterion was met on August 3, 2017, resulting in vesting of 50% of such restricted stock units, and the second performance criterion was met on May 22, 2018, resulting in vesting of 25% of such restricted stock units.

F3 · derivative.expiration_date: On March 10, 2017, the reporting person was granted restricted stock units that vest based on the Company's satisfaction of certain performance criteria. The first performance criterion was met on August 3, 2017, resulting in vesting of 50% of such restricted stock units, and the second performance criterion was met on May 22, 2018, resulting in vesting of 25% of such restricted stock units.

SEC source: 0001209191-18-033112 · doc4.xml · nonDerivative · entry 2

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,936

F2 · price: Shares were withheld by the Company to satisfy tax withholding obligations related to a vesting of restricted stock units granted on March 10, 2017.

SEC source: 0001209191-18-033112 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,241

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-18-020355 · doc4.xml · derivative · entry 6

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,066

Underlying: Common Stock · 2,031 shares

Expires 2023-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-020355 · doc4.xml · derivative · entry 5

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,134

Underlying: Common Stock · 469 shares

Expires 2025-02-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-020355 · doc4.xml · nonDerivative · entry 4

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,809

F1 · shares: The Reporting Person delivered already-owned shares of Common Stock in payment of the option exercise price. Such an "option swap" enables the exercise and holding of shares of Common Stock by the Reporting Person.

SEC source: 0001209191-18-020355 · doc4.xml · nonDerivative · entry 3

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,465

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-020355 · doc4.xml · nonDerivative · entry 2

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,434

F1 · shares: The Reporting Person delivered already-owned shares of Common Stock in payment of the option exercise price. Such an "option swap" enables the exercise and holding of shares of Common Stock by the Reporting Person.

SEC source: 0001209191-18-020355 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,514

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-017794 · doc4.xml · derivative · entry 1

Ruff Shamim · CIK 0001685986 · SVP, Chief Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-03-05

F1 · derivative.exercise_date: 25% of the option granted vests and is exercisable on the first anniversary of the date of grant and 1/48th of the total granted option will vest and become exercisable on each monthly anniversary thereafter, such that the option will be fully vested and exercisable on the fourth anniversary of the date of grant.

SEC source: 0001209191-17-059861 · doc4.xml · derivative · entry 3

Ruff Shamim · CIK 0001685986 · SVP, Regulatory Affairs & Qual

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,144

Underlying: Common Stock · 10,000 shares

Expires 2025-05-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person, on May 12, 2017, accordingly, the reporting person had no discretion with regards to the timing of the transaction.

SEC source: 0001209191-17-059861 · doc4.xml · nonDerivative · entry 2

Ruff Shamim · CIK 0001685986 · SVP, Regulatory Affairs & Qual

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,045

F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person, on May 12, 2017, accordingly, the reporting person had no discretion with regards to the timing of the transaction.

SEC source: 0001209191-17-059861 · doc4.xml · nonDerivative · entry 1

Ruff Shamim · CIK 0001685986 · SVP, Regulatory Affairs & Qual

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,045

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person, on May 12, 2017, accordingly, the reporting person had no discretion with regards to the timing of the transaction.