Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Instil Bio, Inc.TIL · Entity 7177 | Director | June 11, 2026 | June 12, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Instil Bio, Inc.
Report date June 11, 2026 · Filed June 12, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.93 · Expires 2036-06-10 | Direct | 6,500 |
Reported balance
After 2026-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-11 · Grant · Acquired 6,500 · Balance 6,500 F1: The option will vest in 12 substantially equal monthly installments commencing on July 11, 2026, subject to the Reporting Person's Continuous Service (as defined in the company's 2021 Equity Incentive Plan, the "Plan") through the vesting dates. Any portion of the option not vested on the date of the next annual stockholder meeting will vest in full, subject to the Reporting Person's Continuous Service through such date. The option will also vest in full in the event of the Reporting Person's death, Disability (as defined in the Plan) or upon a Change in Control (as defined in the Plan). |
Filing footnotes · ownership attribution and instrument terms
F1: The option will vest in 12 substantially equal monthly installments commencing on July 11, 2026, subject to the Reporting Person's Continuous Service (as defined in the company's 2021 Equity Incentive Plan, the "Plan") through the vesting dates. Any portion of the option not vested on the date of the next annual stockholder meeting will vest in full, subject to the Reporting Person's Continuous Service through such date. The option will also vest in full in the event of the Reporting Person's death, Disability (as defined in the Plan) or upon a Change in Control (as defined in the Plan).
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Apollo Endosurgery, Inc.
Report date April 04, 2023 · Filed April 04, 2023
Section 16 reporting ended · disclosed 2023-04-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Curlew Fund, LP | 0 |
Reported balance
After 2023-04-04 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2023-04-04 · Disposition to issuer · Disposed 675,181 · Balance 0 F3: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Killdeer Fund, LP | 0 |
Reported balance
After 2023-04-04 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2023-04-04 · Disposition to issuer · Disposed 1,310,701 · Balance 0 F3: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Roadrunner Fund, LP | 0 |
Reported balance
After 2023-04-04 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2023-04-04 · Disposition to issuer · Disposed 3,687,781 · Balance 0 F3: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Crested Crane, LP | 0 |
Reported balance
After 2023-04-04 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2023-04-04 · Disposition to issuer · Disposed 45,594 · Balance 0 F3: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Kestrel Fund, LP | 0 |
Reported balance
After 2023-04-04 transaction · row 5
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 5 · 2023-04-04 · Disposition to issuer · Disposed 63,671 · Balance 0 F3: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Mallard Fund, LP | 0 |
Reported balance
After 2023-04-04 transaction · row 6
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 6 · 2023-04-04 · Disposition to issuer · Disposed 400,675 · Balance 0 F3: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.95 · Expires 2032-06-14 | Direct | 0 |
Reported balance
After 2023-04-04 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-04-04 · Disposition to issuer · Disposed 38,667 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. |
Filing footnotes · ownership attribution and instrument terms
F1: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4.
F2: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.
F3: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions.
F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions.
PROCEPT BioRobotics Corp
Report date May 03, 2024 · Filed May 07, 2024
Jointly reported with CPMG Inc, White Tailed Ptarmigan, LP
Section 16 reporting ended · disclosed 2024-05-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy White Tailed Ptarmigan, LP | 2,823,681 |
Reported balance
After 2024-05-03 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-05-03 · Other · Disposed 1,785,127 · Balance 2,823,681 F2: On May 3, 2024, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 421,061 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F1: CPMG, Inc. is the general partner and investment manager of each of White Tailed Ptarmigan, LP, Kestrel Fund, L.P. and Mallard Fund, L.P. (collectively, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing partner of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4. |
| Common StockSEC Table I · non-derivative | IndirectBy Kestrel Fund, L.P. | 54,037 |
Reported balance
Holding disclosure · report date 2024-05-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 54,037 F3: Includes shares previously held indirectly through White Tailed Ptarmigan, LP, which were distributed on a pro rata basis, for no consideration, on May 3, 2024, in a transaction exempt from Section 16 under Rules 16a-9 and 16a-13. F1: CPMG, Inc. is the general partner and investment manager of each of White Tailed Ptarmigan, LP, Kestrel Fund, L.P. and Mallard Fund, L.P. (collectively, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing partner of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4. |
| Common StockSEC Table I · non-derivative | IndirectBy Mallard Fund, L.P. | 344,627 |
Reported balance
Holding disclosure · report date 2024-05-03 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 344,627 F3: Includes shares previously held indirectly through White Tailed Ptarmigan, LP, which were distributed on a pro rata basis, for no consideration, on May 3, 2024, in a transaction exempt from Section 16 under Rules 16a-9 and 16a-13. F1: CPMG, Inc. is the general partner and investment manager of each of White Tailed Ptarmigan, LP, Kestrel Fund, L.P. and Mallard Fund, L.P. (collectively, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing partner of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4. |
| Common StockSEC Table I · non-derivative | IndirectBy Lagos Trust | 553,592 |
Reported balance
Holding disclosure · report date 2024-05-03 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 553,592 F3: Includes shares previously held indirectly through White Tailed Ptarmigan, LP, which were distributed on a pro rata basis, for no consideration, on May 3, 2024, in a transaction exempt from Section 16 under Rules 16a-9 and 16a-13. F4: Mr. McGaughy, Jr. is a trustee of Lagos Trust. Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by Lagos Trust except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 4,523 |
Reported balance
Holding disclosure · report date 2024-05-03 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 4,523 F3: Includes shares previously held indirectly through White Tailed Ptarmigan, LP, which were distributed on a pro rata basis, for no consideration, on May 3, 2024, in a transaction exempt from Section 16 under Rules 16a-9 and 16a-13. |
Filing footnotes · ownership attribution and instrument terms
F1: CPMG, Inc. is the general partner and investment manager of each of White Tailed Ptarmigan, LP, Kestrel Fund, L.P. and Mallard Fund, L.P. (collectively, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing partner of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4.
F2: On May 3, 2024, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 421,061 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13.
F3: Includes shares previously held indirectly through White Tailed Ptarmigan, LP, which were distributed on a pro rata basis, for no consideration, on May 3, 2024, in a transaction exempt from Section 16 under Rules 16a-9 and 16a-13.
F4: Mr. McGaughy, Jr. is a trustee of Lagos Trust. Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by Lagos Trust except to the extent of any pecuniary interest therein.
REATA PHARMACEUTICALS INC
Report date September 26, 2023 · Filed September 26, 2023
Section 16 reporting ended · disclosed 2023-09-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 1
1 source rowRow 1 · 2023-09-26 · Disposition to issuer · Disposed 25,004 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Class A common stockSEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2023-09-26 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2023-09-26 · Disposition to issuer · Disposed 2,896,901 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F3: These shares of Class A common stock were held in various funds for which CPMG, Inc. serves as investment manager. Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. F6: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Class A common stockSEC Table I · non-derivative | IndirectBy Lagos Trust | 0 |
Reported balance
After 2023-09-26 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2023-09-26 · Disposition to issuer · Disposed 4,591 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F4: The Reporting Person is trustee of Lagos Trust. F6: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Class A common stockSEC Table I · non-derivative | IndirectBy Traweek Children's Trust | 0 |
Reported balance
After 2023-09-26 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2023-09-26 · Disposition to issuer · Disposed 280 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F5: The Reporting Person is trustee of Traweek Children's Trust. F6: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Class B common stockSEC Table II · derivative / convertible security | IndirectSee footnote | 0 |
Reported balance
After 2023-09-26 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-09-26 · Disposition to issuer · Disposed 1,692,857 · Balance 0 F7: The Class B common stock was 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 had no expiration date. F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F3: These shares of Class A common stock were held in various funds for which CPMG, Inc. serves as investment manager. Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. F6: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Class B common stockSEC Table II · derivative / convertible security | IndirectBy Lagos Trust | 0 |
Reported balance
After 2023-09-26 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-09-26 · Disposition to issuer · Disposed 51,095 · Balance 0 F7: The Class B common stock was 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 had no expiration date. F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F4: The Reporting Person is trustee of Lagos Trust. F6: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Class B common stockSEC Table II · derivative / convertible security | IndirectBy Traweek Children's Trust | 0 |
Reported balance
After 2023-09-26 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-09-26 · Disposition to issuer · Disposed 3,109 · Balance 0 F7: The Class B common stock was 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 had no expiration date. F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F5: The Reporting Person is trustee of Traweek Children's Trust. F6: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Class B common stockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2023-09-26 · Disposition to issuer · Disposed 278,309 · Balance 0 F7: The Class B common stock was 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 had no expiration date. F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $130.92 · Expires 2030-06-10 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-09-26 · Disposition to issuer · Disposed 6,300 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $130.92 · Expires 2030-06-10 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2023-09-26 · Disposition to issuer · Disposed 699 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $146.01 · Expires 2031-06-10 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2023-09-26 · Disposition to issuer · Disposed 5,000 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $146.01 · Expires 2031-06-10 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2023-09-26 · Disposition to issuer · Disposed 690 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.32 · Expires 2032-01-03 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2023-09-26 · Disposition to issuer · Disposed 399 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $34.76 · Expires 2032-06-08 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2023-09-26 · Disposition to issuer · Disposed 11,240 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $34.76 · Expires 2032-06-08 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2023-09-26 · Disposition to issuer · Disposed 4,787 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $93.61 · Expires 2033-06-07 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2023-09-26 · Disposition to issuer · Disposed 1,628 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $93.61 · Expires 2033-06-07 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2023-09-26 · Disposition to issuer · Disposed 4,275 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.57 · Expires 2026-12-07 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2023-09-26 · Disposition to issuer · Disposed 2,773 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.52 · Expires 2027-06-14 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2023-09-26 · Disposition to issuer · Disposed 6,000 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.52 · Expires 2027-06-14 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2023-09-26 · Disposition to issuer · Disposed 3,185 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.48 · Expires 2028-06-13 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 22
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 22 · 2023-09-26 · Disposition to issuer · Disposed 8,000 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.48 · Expires 2028-06-13 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 23
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 23 · 2023-09-26 · Disposition to issuer · Disposed 1,844 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $88.75 · Expires 2029-06-12 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 24
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 24 · 2023-09-26 · Disposition to issuer · Disposed 9,000 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $88.75 · Expires 2029-06-12 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 25
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 25 · 2023-09-26 · Disposition to issuer · Disposed 892 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
| Stock Option (right to buy)/SEC Table II · derivative / convertible security · Conversion / exercise price $22.57 · Expires 2026-12-07 | Direct | 0 |
Reported balance
After 2023-09-26 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2023-09-26 · Disposition to issuer · Disposed 6,000 · Balance 0 F1: 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,... (Continued in Footnote 2) F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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,... (Continued in Footnote 2)
F2: (Continued from Footnote 1) ...and (b) 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, without interest, 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.
F3: These shares of Class A common stock were held in various funds for which CPMG, Inc. serves as investment manager. Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc.
F4: The Reporting Person is trustee of Lagos Trust.
F5: The Reporting Person is trustee of Traweek Children's Trust.
F6: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
F7: The Class B common stock was 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 had no expiration date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 11, 2026 Filed Jun 12, 2026 14:40 UTC | Instil Bio, Inc. TIL · Entity 7177 | GrantStock Option (Right to Buy) · Derivative | 6,500 | $0.00 Strike: $7.93 | $0.00 |
DisclosureSEC source: 0001402856-26-000003 · wk-form4_1781289604.xml · derivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,500 Underlying: Common Stock · 6,500 shares Expires 2036-06-10 F1 · derivative.exercise_date: The option will vest in 12 substantially equal monthly installments commencing on July 11, 2026, subject to the Reporting Person's Continuous Service (as defined in the company's 2021 Equity Incentive Plan, the "Plan") through the vesting dates. Any portion of the option not vested on the date of the next annual stockholder meeting will vest in full, subject to the Reporting Person's Continuous Service through such date. The option will also vest in full in the event of the Reporting Person's death, Disability (as defined in the Plan) or upon a Change in Control (as defined in the Plan). Read SEC document |
| May 28, 2025 Filed May 29, 2025 19:09 UTC | Instil Bio, Inc. TIL · Entity 7177 | GrantStock Option (Right to Buy) · Derivative | 6,500 | $0.00 Strike: $26.75 | $0.00 |
DisclosureSEC source: 0001789769-25-000064 · wk-form4_1748560149.xml · derivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,500 Underlying: Common Stock · 6,500 shares Expires 2035-05-27 F1 · derivative.exercise_date: The option will vest in 12 substantially equal monthly installments commencing on June 28, 2025, subject to the Reporting Person's Continuous Service (as defined in the company's 2021 Equity Incentive Plan, the "Plan") through the vesting dates. Any portion of the option not vested on the date of the next annual stockholder meeting will vest in full, subject to the Reporting Person's Continuous Service through such date. The option will also vest in full in the event of the Reporting Person's death, Disability (as defined in the Plan) or upon a Change in Control (as defined in the Plan). Read SEC document |
| June 13, 2024 Filed Jun 13, 2024 17:02 UTC | Instil Bio, Inc. TIL · Entity 7177 | GrantStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $10.50 | $0.00 |
DisclosureSEC source: 0001789769-24-000065 · wk-form4_1718312526.xml · derivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2034-06-12 F1 · derivative.exercise_date: The option will vest in 12 substantially equal monthly installments commencing on July 13, 2024, subject to the Reporting Person's Continuous Service (as defined in the company's 2021 Equity Incentive Plan, the "Plan") through the vesting dates. Any portion of the option not vested on the date of the next annual stockholder meeting will vest in full, subject to the Reporting Person's Continuous Service through such date. The option will also vest in full in the event of the Reporting Person's death, Disability (as defined in the Plan) or upon a Change in Control (as defined in the Plan). Read SEC document |
| May 03, 2024 Filed May 7, 2024 21:46 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | OtherCommon Stock | 1,785,127 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-24-001300 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · 10% owner CPMG Inc · CIK 0001372218 · 10% owner White Tailed Ptarmigan, LP · CIK 0001882743 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · By White Tailed Ptarmigan, LP Disclosed balance after: 2,823,681 F2 · kind: On May 3, 2024, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 421,061 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F2 · balance_after: On May 3, 2024, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 421,061 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F1 · ownership.nature: CPMG, Inc. is the general partner and investment manager of each of White Tailed Ptarmigan, LP, Kestrel Fund, L.P. and Mallard Fund, L.P. (collectively, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing partner of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 892 | Not disclosed Strike: $88.75 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 25 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B common stock · 892 shares Expires 2029-06-12 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 9,000 | Not disclosed Strike: $88.75 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 24 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B common stock · 9,000 shares Expires 2029-06-12 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 1,844 | Not disclosed Strike: $39.48 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 23 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B common stock · 1,844 shares Expires 2028-06-13 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 8,000 | Not disclosed Strike: $39.48 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 22 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B common stock · 8,000 shares Expires 2028-06-13 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 3,185 | Not disclosed Strike: $25.52 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 21 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B common stock · 3,185 shares Expires 2027-06-14 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 6,000 | Not disclosed Strike: $25.52 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 20 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B common stock · 6,000 shares Expires 2027-06-14 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 2,773 | Not disclosed Strike: $22.57 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 19 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B common stock · 2,773 shares Expires 2026-12-07 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy)/ · Derivative | 6,000 | Not disclosed Strike: $22.57 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 18 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B common stock · 6,000 shares Expires 2026-12-07 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 4,275 | Not disclosed Strike: $93.61 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 17 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 4,275 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 1,628 | Not disclosed Strike: $93.61 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 16 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 1,628 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 4,787 | Not disclosed Strike: $34.76 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 15 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 4,787 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 11,240 | Not disclosed Strike: $34.76 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 14 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 11,240 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 399 | Not disclosed Strike: $27.32 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 13 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 399 shares Expires 2032-01-03 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 690 | Not disclosed Strike: $146.01 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 12 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 690 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 5,000 | Not disclosed Strike: $146.01 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 11 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 699 | Not disclosed Strike: $130.92 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 10 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 699 shares Expires 2030-06-10 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerStock Option (right to buy) · Derivative | 6,300 | Not disclosed Strike: $130.92 | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 9 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 6,300 shares Expires 2030-06-10 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. 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,... (Continued in Footnote 2) F2 · derivative.exercise_date: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerClass B common stock · Derivative | 278,309 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 8 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 278,309 shares Expires not disclosed F7 · derivative.exercise_price: The Class B common stock was 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 had no expiration date. 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F7 · derivative.exercise_date: The Class B common stock was 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 had no expiration date. F7 · derivative.expiration_date: The Class B common stock was 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 had no expiration date. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerClass B common stock · Derivative | 3,109 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 7 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Traweek Children's Trust Disclosed balance after: 0 Underlying: Class A common stock · 3,109 shares Expires not disclosed F7 · derivative.exercise_price: The Class B common stock was 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 had no expiration date. 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F7 · derivative.exercise_date: The Class B common stock was 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 had no expiration date. F7 · derivative.expiration_date: The Class B common stock was 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 had no expiration date. F5 · ownership.nature: The Reporting Person is trustee of Traweek Children's Trust. F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerClass B common stock · Derivative | 51,095 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 6 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Lagos Trust Disclosed balance after: 0 Underlying: Class A common stock · 51,095 shares Expires not disclosed F7 · derivative.exercise_price: The Class B common stock was 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 had no expiration date. 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F7 · derivative.exercise_date: The Class B common stock was 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 had no expiration date. F7 · derivative.expiration_date: The Class B common stock was 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 had no expiration date. F4 · ownership.nature: The Reporting Person is trustee of Lagos Trust. F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerClass B common stock · Derivative | 1,692,857 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · derivative · entry 5 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Class A common stock · 1,692,857 shares Expires not disclosed F7 · derivative.exercise_price: The Class B common stock was 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 had no expiration date. 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F7 · derivative.exercise_date: The Class B common stock was 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 had no expiration date. F7 · derivative.expiration_date: The Class B common stock was 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 had no expiration date. F3 · ownership.nature: These shares of Class A common stock were held in various funds for which CPMG, Inc. serves as investment manager. Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerClass A common stock | 280 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · nonDerivative · entry 4 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Traweek Children's Trust 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F5 · ownership.nature: The Reporting Person is trustee of Traweek Children's Trust. F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerClass A common stock | 4,591 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · nonDerivative · entry 3 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Lagos Trust 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F4 · ownership.nature: The Reporting Person is trustee of Lagos Trust. F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerClass A common stock | 2,896,901 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · nonDerivative · entry 2 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. F3 · ownership.nature: These shares of Class A common stock were held in various funds for which CPMG, Inc. serves as investment manager. Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| September 26, 2023 Filed Sep 26, 2023 19:18 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | Disposition to issuerClass A common stock | 25,004 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000905148-23-001010 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 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,... (Continued in Footnote 2) F2 · price: (Continued from Footnote 1) ...and (b) 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, without interest, 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. Read SEC document |
| June 14, 2023 Filed Jan 10, 2024 19:50 UTC | Instil Bio, Inc. TIL · Entity 7177 | GrantStock Option (Right to Buy) · Derivative | 1,500 | $0.00 Strike: $11.18 | $0.00 |
DisclosureSEC source: 0001789769-24-000010 · wk-form4_1704934245.xml · derivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 1,500 shares Expires 2033-06-13 F1 · derivative.exercise_date: The option will vest in 12 equal monthly installments commencing on July 14, 2023, subject to the Report Person's continued service as a director through the vesting date. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 16:30 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | GrantStock Option (right to buy) · Derivative | 4,275 | $0.00 Strike: $93.61 | $0.00 |
DisclosureSEC source: 0001140361-23-029139 · form4.xml · derivative · entry 2 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,275 Underlying: Class A common stock · 4,275 shares Expires 2033-06-07 F1 · derivative.exercise_date: The options vest 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. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 16:30 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | GrantStock Option (right to buy) · Derivative | 1,628 | $73.68 Strike: $93.61 | $119,951.04 |
DisclosureSEC source: 0001140361-23-029139 · form4.xml · derivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,628 Underlying: Class A common stock · 1,628 shares Expires 2033-06-07 F2 · 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 $119,954. F1 · derivative.exercise_date: The options vest 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. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 20:15 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerStock Option (Right to Buy) · Derivative | 38,667 | Not disclosed Strike: $3.95 | Not disclosed |
DisclosureSEC source: 0001140361-23-016441 · form4.xml · derivative · entry 7 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 38,667 shares Expires 2032-06-14 F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unexercised option to purchase shares of Issuer Common Stock granted under the Issuer's 2006 Stock Option Plan, 2016 Equity Incentive Plan or 2017 Equity Incentive Plan or pursuant to the "inducement" grant exception under Rule 5635(c)(4) of the Nasdaq Listing Rules (collectively, the "Issuer Stock Plans", and each such option, an "Issuer Option"), whether vested or unvested, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (1) the amount by which the Merger Consideration exceeds the exercise price per share applicable to such Issuer Option and (2) the aggregate number of shares of Issuer Common Stock issuable upon exercise of such Issuer Option, less applicable taxes and authorized deductions. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 20:15 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 400,675 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-016441 · form4.xml · nonDerivative · entry 6 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Mallard Fund, LP Disclosed balance after: 0 F3 · kind: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F3 · price: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 20:15 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 63,671 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-016441 · form4.xml · nonDerivative · entry 5 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Kestrel Fund, LP Disclosed balance after: 0 F3 · kind: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F3 · price: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 20:15 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 45,594 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-016441 · form4.xml · nonDerivative · entry 4 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Crested Crane, LP Disclosed balance after: 0 F3 · kind: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F3 · price: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 20:15 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 3,687,781 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-016441 · form4.xml · nonDerivative · entry 3 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Roadrunner Fund, LP Disclosed balance after: 0 F3 · kind: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F3 · price: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 20:15 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 1,310,701 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-016441 · form4.xml · nonDerivative · entry 2 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Killdeer Fund, LP Disclosed balance after: 0 F3 · kind: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F3 · price: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| April 04, 2023 Filed Apr 4, 2023 20:15 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Disposition to issuerCommon Stock | 675,181 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-23-016441 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: No plan indicated Ownership: Indirect · By Curlew Fund, LP Disclosed balance after: 0 F3 · kind: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F3 · price: Reflects the disposition of the Reporting Person's indirectly owned shares of the Issuer's common stock, par value $0.001 per share ("Issuer Common Stock"), upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 29, 2022, among the Issuer, Boston Scientific Corporation ("Parent") and Textile Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger between the Issuer and Merger Sub on April 4, 2023 (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer Common Stock was canceled and converted automatically into the right to receive $10.00 in cash, without interest (the "Merger Consideration"), less applicable taxes and authorized deductions. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| March 03, 2023 Filed Mar 7, 2023 16:37 UTC | REATA PHARMACEUTICALS INC RETA · Entity 12293 | GiftClass A common stock | 33,217 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-23-010508 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · ownership.nature: These shares of Class A common stock are held in escrow for a charitable donee by American Stock Transfer & Trust Company, LLC. F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| December 28, 2022 Filed Dec 30, 2022 17:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Conversion6.0% Convertible Debentures due 2026 · Derivative | Not disclosed | $0.00 Strike: $3.25 | $4,763,750.00 |
DisclosureSEC source: 0001140361-22-047719 · form4.xml · derivative · entry 9 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Roadrunner Fund, LP Disclosed balance after: 0 Underlying: Common Stock · 1,465,770 shares Expires 2026-08-12 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 · kind: On December 28, 2022 (the "Forced Conversion Date"), the Issuer notified the holders of its outstanding 6.0% Convertible Debentures due 2026 (the "Debentures") that it elected to cause the eligible portion of the aggregate principal amount of the Debentures outstanding to be converted into shares of the Issuer's common stock at the fixed conversion price of $3.25 per share and to issue shares of the Issuer's common stock to satisfy accrued but unpaid interest on the principal amount to be converted through the Forced Conversion Date. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 28, 2022 Filed Dec 30, 2022 17:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Conversion6.0% Convertible Debentures due 2026 · Derivative | Not disclosed | $0.00 Strike: $3.25 | $1,905,500.00 |
DisclosureSEC source: 0001140361-22-047719 · form4.xml · derivative · entry 8 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Killdeer Fund, LP Disclosed balance after: 0 Underlying: Common Stock · 586,308 shares Expires 2026-08-12 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 · kind: On December 28, 2022 (the "Forced Conversion Date"), the Issuer notified the holders of its outstanding 6.0% Convertible Debentures due 2026 (the "Debentures") that it elected to cause the eligible portion of the aggregate principal amount of the Debentures outstanding to be converted into shares of the Issuer's common stock at the fixed conversion price of $3.25 per share and to issue shares of the Issuer's common stock to satisfy accrued but unpaid interest on the principal amount to be converted through the Forced Conversion Date. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 28, 2022 Filed Dec 30, 2022 17:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | Conversion6.0% Convertible Debentures due 2026 · Derivative | Not disclosed | $0.00 Strike: $3.25 | $476,375.00 |
DisclosureSEC source: 0001140361-22-047719 · form4.xml · derivative · entry 7 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Curlew Fund, LP Disclosed balance after: 0 Underlying: Common Stock · 146,577 shares Expires 2026-08-12 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 · kind: On December 28, 2022 (the "Forced Conversion Date"), the Issuer notified the holders of its outstanding 6.0% Convertible Debentures due 2026 (the "Debentures") that it elected to cause the eligible portion of the aggregate principal amount of the Debentures outstanding to be converted into shares of the Issuer's common stock at the fixed conversion price of $3.25 per share and to issue shares of the Issuer's common stock to satisfy accrued but unpaid interest on the principal amount to be converted through the Forced Conversion Date. F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 28, 2022 Filed Dec 30, 2022 17:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | ConversionClass A common stock | 1,465,770 | $3.25 | $4,763,752.50 |
DisclosureSEC source: 0001140361-22-047719 · form4.xml · nonDerivative · entry 3 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Roadrunner Fund, LP Disclosed balance after: 3,687,781 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 · kind: On December 28, 2022 (the "Forced Conversion Date"), the Issuer notified the holders of its outstanding 6.0% Convertible Debentures due 2026 (the "Debentures") that it elected to cause the eligible portion of the aggregate principal amount of the Debentures outstanding to be converted into shares of the Issuer's common stock at the fixed conversion price of $3.25 per share and to issue shares of the Issuer's common stock to satisfy accrued but unpaid interest on the principal amount to be converted through the Forced Conversion Date. F6 · balance_after: This amount includes an aggregate 70,802 shares issued by the Issuer to the Roadrunner Fund, LP since the last Form 4 filed by the Reporting Person on October 19, 2021, including 56,598 shares paid in the semi-annual interest payments in January 2022 and in July 2022, and 14,204 shares paid on accrued but unpaid interest through the Forced Conversion Date, on the Debentures held by the Roadrunner Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a). F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 28, 2022 Filed Dec 30, 2022 17:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | ConversionClass A common stock | 586,308 | $3.25 | $1,905,501.00 |
DisclosureSEC source: 0001140361-22-047719 · form4.xml · nonDerivative · entry 2 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Killdeer Fund, LP Disclosed balance after: 1,310,701 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 · kind: On December 28, 2022 (the "Forced Conversion Date"), the Issuer notified the holders of its outstanding 6.0% Convertible Debentures due 2026 (the "Debentures") that it elected to cause the eligible portion of the aggregate principal amount of the Debentures outstanding to be converted into shares of the Issuer's common stock at the fixed conversion price of $3.25 per share and to issue shares of the Issuer's common stock to satisfy accrued but unpaid interest on the principal amount to be converted through the Forced Conversion Date. F5 · balance_after: This amount includes an aggregate 28,322 shares issued by the Issuer to the Killdeer Fund, LP since the last Form 4 filed by the Reporting Person on October 19, 2021, including 22,640 shares paid in the semi-annual interest payments in January 2022 and in July 2022, and 5,682 shares paid on accrued but unpaid interest through the Forced Conversion Date, on the Debentures held by the Killdeer Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a). F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 28, 2022 Filed Dec 30, 2022 17:25 UTC | Apollo Endosurgery, Inc. APEN · Entity 114713 | ConversionClass A common stock | 146,577 | $3.25 | $476,375.25 |
DisclosureSEC source: 0001140361-22-047719 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Curlew Fund, LP Disclosed balance after: 675,181 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 · kind: On December 28, 2022 (the "Forced Conversion Date"), the Issuer notified the holders of its outstanding 6.0% Convertible Debentures due 2026 (the "Debentures") that it elected to cause the eligible portion of the aggregate principal amount of the Debentures outstanding to be converted into shares of the Issuer's common stock at the fixed conversion price of $3.25 per share and to issue shares of the Issuer's common stock to satisfy accrued but unpaid interest on the principal amount to be converted through the Forced Conversion Date. F4 · balance_after: This amount includes an aggregate 7,082 shares issued by the Issuer to the Curlew Fund, LP since the last Form 4 filed by the Reporting Person on October 19, 2021, including 5,661 shares paid in the semi-annual interest payments in January 2022 and in July 2022, and 1,421 shares paid on accrued but unpaid interest through the Forced Conversion Date, on the Debentures held by the Curlew Fund, LP, which transactions were exempt from Section 16 of the Exchange Act pursuant to Rule 16a-9(a). F1 · ownership.direct: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.direct: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. F1 · ownership.nature: CPMG, Inc. is the investment manager of each of: Crested Crane, LP; Curlew Fund, LP; Kestrel Fund, LP; Mallard Fund, LP; Roadrunner Fund, LP; and Killdeer Fund, LP (the "Funds"). Each of the Reporting Person and Antal Desai is a shareholder and managing partner of CPMG, Inc. In such capacities, each of CPMG, Inc., the Reporting Person and Antal Desai may be deemed to share voting and investment power with respect to the shares held directly by the Funds. Each of CPMG, Inc. and Antal Desai reports its and his beneficial ownership of these shares on a separate Form 4. F2 · ownership.nature: The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose. Read SEC document |
| December 05, 2022 Filed Dec 7, 2022 16:32 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | OtherCommon Stock | 1,726,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-044739 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · 10% owner CPMG Inc · CIK 0001372218 · 10% owner White Tailed Ptarmigan, LP · CIK 0001882743 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By White Tailed Ptarmigan, LP Disclosed balance after: 5,029,869 F2 · kind: On December 5, 2022, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 236,734 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F2 · balance_after: On December 5, 2022, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 236,734 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F1 · ownership.nature: CPMG, Inc. is the general partner and investment manager of each of White Tailed Ptarmigan, LP, Kestrel Fund, L.P., and Mallard Fund, L.P. (collectively, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing partner of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4. Read SEC document |
| November 14, 2022 Filed Nov 16, 2022 16:31 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | OtherCommon Stock | 1,729,482 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-041922 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · 10% owner CPMG Inc · CIK 0001372218 · 10% owner White Tailed Ptarmigan, LP · CIK 0001882743 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By White Tailed Ptarmigan, LP Disclosed balance after: 6,993,137 F2 · kind: On November 14, 2022, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 233,056 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F2 · balance_after: On November 14, 2022, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 233,056 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F1 · ownership.nature: CPMG, Inc. is the general partner and investment manager of each of White Tailed Ptarmigan, LP, Kestrel Fund, L.P., and Mallard Fund, L.P. (collectively, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing partner of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4. Read SEC document |
| September 09, 2022 Filed Sep 13, 2022 16:45 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | OtherCommon Stock | 986,640 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-033193 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · 10% owner CPMG Inc · CIK 0001372218 · 10% owner White Tailed Ptarmigan, LP · CIK 0001882743 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By White Tailed Ptarmigan, LP Disclosed balance after: 8,955,675 F2 · kind: On September 9, 2022, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 133,176 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F2 · balance_after: On September 9, 2022, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 133,176 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F1 · ownership.nature: CPMG, Inc. is the general partner of White Tailed Ptarmigan, LP and the investment manager of each of Kestrel Fund, L.P. and Mallard Fund, L.P. (together with White Tailed Ptarmigan, LP, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing director of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4. Read SEC document |
| September 06, 2022 Filed Sep 8, 2022 16:46 UTC | PROCEPT BioRobotics Corp PRCT · Entity 4831 | OtherCommon Stock | 743,021 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-22-032770 · form4.xml · nonDerivative · entry 1 McGaughy R Kent Jr · CIK 0001402856 · 10% owner CPMG Inc · CIK 0001372218 · 10% owner White Tailed Ptarmigan, LP · CIK 0001882743 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By White Tailed Ptarmigan, LP Disclosed balance after: 10,075,491 F2 · kind: On September 6, 2022, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 99,881 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F2 · balance_after: On September 6, 2022, White Tailed Ptarmigan, LP distributed shares on a pro rata basis, for no consideration, including 99,881 shares that were distributed in transactions exempt from Section 16 under Rule 16a-13. F1 · ownership.nature: CPMG, Inc. is the general partner of White Tailed Ptarmigan, LP and the investment manager of each of Kestrel Fund, L.P. and Mallard Fund, L.P. (together with White Tailed Ptarmigan, LP, the "CPMG Funds"). In such capacities, CPMG, Inc. may be deemed to have voting and investment control over the shares beneficially owned by the CPMG Funds. Antal Desai, a member of the Issuer's board of directors, and Kent McGaughy, Jr., each of whom is a shareholder and managing director of CPMG, Inc., may be deemed to share voting and investment power with respect to the shares beneficially owned by the CPMG Funds. Each of Mr. Desai and Mr. McGaughy, Jr. disclaims beneficial ownership of the shares beneficially owned by the CPMG Funds except to the extent of any pecuniary interest therein. Antal Desai reports his beneficial ownership of these shares on a separate Form 4. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.