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person · Reporting owner

McGaughy R Kent Jr

Disclosed activity across 4 companies

Tapewire entity
38682
SEC CIK
0001402856

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Instil Bio, Inc.TIL · Entity 7177DirectorJune 11, 2026June 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.93 · Expires 2036-06-10Direct6,500 Reported balance After 2026-06-11 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Curlew Fund, LP0 Reported balance After 2023-04-04 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeIndirectBy Killdeer Fund, LP0 Reported balance After 2023-04-04 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeIndirectBy Roadrunner Fund, LP0 Reported balance After 2023-04-04 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeIndirectBy Crested Crane, LP0 Reported balance After 2023-04-04 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeIndirectBy Kestrel Fund, LP0 Reported balance After 2023-04-04 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeIndirectBy Mallard Fund, LP0 Reported balance After 2023-04-04 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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 2032-06-14Direct0 Reported balance After 2023-04-04 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy White Tailed Ptarmigan, LP2,823,681 Reported balance After 2024-05-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy 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 row

Row 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-derivativeIndirectBy Lagos Trust553,592 Reported balance Holding disclosure · report date 2024-05-03 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 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-derivativeDirect4,523 Reported balance Holding disclosure · report date 2024-05-03 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 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 / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A common stockSEC Table I · non-derivativeDirect0 Reported balance After 2023-09-26 transaction · row 1
1 source row

Row 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-derivativeIndirectSee footnote0 Reported balance After 2023-09-26 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeIndirectBy Lagos Trust0 Reported balance After 2023-09-26 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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-derivativeIndirectBy Traweek Children's Trust0 Reported balance After 2023-09-26 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 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 securityIndirectSee footnote0 Reported balance After 2023-09-26 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectBy Lagos Trust0 Reported balance After 2023-09-26 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityIndirectBy Traweek Children's Trust0 Reported balance After 2023-09-26 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 securityDirect0 Reported balance After 2023-09-26 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2030-06-10Direct0 Reported balance After 2023-09-26 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2030-06-10Direct0 Reported balance After 2023-09-26 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2031-06-10Direct0 Reported balance After 2023-09-26 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2031-06-10Direct0 Reported balance After 2023-09-26 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2032-01-03Direct0 Reported balance After 2023-09-26 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2032-06-08Direct0 Reported balance After 2023-09-26 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2032-06-08Direct0 Reported balance After 2023-09-26 transaction · row 15 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2033-06-07Direct0 Reported balance After 2023-09-26 transaction · row 16 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2033-06-07Direct0 Reported balance After 2023-09-26 transaction · row 17 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2026-12-07Direct0 Reported balance After 2023-09-26 transaction · row 19 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2027-06-14Direct0 Reported balance After 2023-09-26 transaction · row 20 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2027-06-14Direct0 Reported balance After 2023-09-26 transaction · row 21 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2028-06-13Direct0 Reported balance After 2023-09-26 transaction · row 22 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2028-06-13Direct0 Reported balance After 2023-09-26 transaction · row 23 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2029-06-12Direct0 Reported balance After 2023-09-26 transaction · row 24 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2029-06-12Direct0 Reported balance After 2023-09-26 transaction · row 25 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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 2026-12-07Direct0 Reported balance After 2023-09-26 transaction · row 18 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 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

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
December 27, 2017 Filed Dec 28, 2017 19:01 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 15,000 $25.83 $387,444.00
Disclosure

SEC source: 0001140361-17-047649 · form4.xml · nonDerivative · entry 2

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,895,323

F7 · price: This price reflects the weighted average purchase price for open-market purchases on December 27, 2017, within a $1.00 range. The actual prices for these transactions range from $25.595 to $26.00 inclusive.

F1 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

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.

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December 26, 2017 Filed Dec 28, 2017 19:01 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 12,000 $26.06 $312,726.00
Disclosure

SEC source: 0001140361-17-047649 · 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: 2,880,323

F6 · price: This price reflects the weighted average purchase price for open-market purchases on December 26, 2017, within a $1.00 range. The actual prices for these transactions range from $25.72 to $26.14 inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnotes (6) and (7) to this Form 4.

F1 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

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.

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December 14, 2017 Filed Dec 15, 2017 18:41 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 78,275 $24.65 $1,929,697.92
Disclosure

SEC source: 0000905148-17-000940 · form4.xml · nonDerivative · entry 3

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,868,323

F9 · price: This price reflects the weighted average purchase price for open-market purchases on December 14, 2017, within a $1.00 range. The actual prices for these transactions range from $24.40 to $24.92, inclusive.

F1 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager (the "CPMG Funds"). The Reporting Person is a co-director and co-shareholder 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.

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December 13, 2017 Filed Dec 15, 2017 18:41 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 300 $23.98 $7,193.01
Disclosure

SEC source: 0000905148-17-000940 · form4.xml · nonDerivative · entry 2

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,790,048

F8 · price: This price reflects the weighted average purchase price for open-market purchases on December 13, 2017, within a $1.00 range. The actual prices for these transactions range from $23.97 to $23.99 inclusive.

F1 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager (the "CPMG Funds"). The Reporting Person is a co-director and co-shareholder 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.

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December 13, 2017 Filed Dec 15, 2017 18:41 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 121,425 $24.88 $3,021,515.42
Disclosure

SEC source: 0000905148-17-000940 · 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: 2,789,748

F7 · price: This price reflects the weighted average purchase price for open-market purchases on December 13, 2017, within a $1.00 range. The actual prices for these transactions range from $24.08 to $25.08 inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnotes (7), (8) and (9) to this Form 4.

F1 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager (the "CPMG Funds"). The Reporting Person is a co-director and co-shareholder 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.

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July 25, 2017 Filed Jul 26, 2017 18:02 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 PurchaseCommon Stock 273,770 $5.50 $1,505,735.00
Disclosure

SEC source: 0001179110-17-010716 · edgar.xml · nonDerivative · entry 5

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Roadrunner Fund, LP

Disclosed balance after: 469,100

F5 · ownership.nature: CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Roadrunner Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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July 25, 2017 Filed Jul 26, 2017 18:02 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 PurchaseCommon Stock 78,965 $5.50 $434,307.50
Disclosure

SEC source: 0001179110-17-010716 · edgar.xml · nonDerivative · entry 4

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mallard Fund, LP

Disclosed balance after: 400,675

F4 · ownership.nature: CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Mallard Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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July 25, 2017 Filed Jul 26, 2017 18:02 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 PurchaseCommon Stock 12,548 $5.50 $69,014.00
Disclosure

SEC source: 0001179110-17-010716 · edgar.xml · nonDerivative · entry 3

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kestrel Fund, LP

Disclosed balance after: 63,671

F3 · ownership.nature: CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Kestrel Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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July 25, 2017 Filed Jul 26, 2017 18:02 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 PurchaseCommon Stock 80,276 $5.50 $441,518.00
Disclosure

SEC source: 0001179110-17-010716 · edgar.xml · nonDerivative · entry 2

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Curlew Fund, LP

Disclosed balance after: 293,309

F2 · ownership.nature: CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Curlew Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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July 25, 2017 Filed Jul 26, 2017 18:02 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 PurchaseCommon Stock 8,986 $5.50 $49,423.00
Disclosure

SEC source: 0001179110-17-010716 · edgar.xml · nonDerivative · entry 1

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Crested Crane, LP

Disclosed balance after: 45,594

F1 · ownership.nature: CPMG, Inc. and the Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Crested Crane, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F6 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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June 22, 2017 Filed Jun 23, 2017 17:55 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 ConversionClass B Common Stock · Derivative 742,289 $0.00 $0.00
Disclosure

SEC source: 0000905148-17-000625 · form4.xml · derivative · entry 7

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,692,857

Underlying: Class A Common Stock · 742,289 shares

Expires not disclosed

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

F5 · derivative.exercise_price: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F5 · price: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F5 · derivative.exercise_date: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F5 · derivative.expiration_date: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F1 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager (the "CPMG Funds"). The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F7 · 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

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June 22, 2017 Filed Jun 23, 2017 17:55 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass B Common Stock · Derivative 1,200,000 $25.00 $30,000,000.00
Disclosure

SEC source: 0000905148-17-000625 · form4.xml · derivative · entry 6

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,435,146

Underlying: Class A Common Stock · 1,200,000 shares

Expires not disclosed

F5 · derivative.exercise_price: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F6 · derivative.exercise_price: These shares of Class B common stock are convertible into Class A common stock on a one-for-one basis at the holder's election at any time for no additional consideration, and have no expiration date.

F5 · price: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F5 · derivative.exercise_date: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F6 · derivative.exercise_date: These shares of Class B common stock are convertible into Class A common stock on a one-for-one basis at the holder's election at any time for no additional consideration, and have no expiration date.

F5 · derivative.expiration_date: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F6 · derivative.expiration_date: These shares of Class B common stock are convertible into Class A common stock on a one-for-one basis at the holder's election at any time for no additional consideration, and have no expiration date.

F1 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager (the "CPMG Funds"). The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F7 · 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

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June 22, 2017 Filed Jun 23, 2017 17:55 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 ConversionClass A common stock 742,289 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-17-000625 · 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: 2,668,323

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

F5 · price: These shares of Class B common stock were acquired in a private transaction with another Class B shareholder pursuant to a purchase agreement dated June 22, 2017 (the "Private Transaction"). Because certain CPMG Funds were not holders of shares of Class B common stock at the time of the Private Transaction, then, pursuant to Section 4.4(b) of the Issuer's Thirteenth Amended and Restated Certificate of Incorporation, the shares of Class B common stock transferred to such CPMG Funds in connection with the Private Transaction automatically convert into shares of Class A common stock, on a one-for-one basis and for no additional consideration. The shares of Class B common stock transferred to other CPMG Funds that were holders of shares of Class B common stock at the time of the Private Transaction do not automatically convert.

F1 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager (the "CPMG Funds"). The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F7 · 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

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June 14, 2017 Filed Jun 16, 2017 09:59 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 GrantStock Option (right to buy) · Derivative 3,185 $17.46 Strike: $25.52 $55,610.10
Disclosure

SEC source: 0000905148-17-000586 · form4.xml · derivative · entry 2

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,185

Underlying: Class B common stock · 3,185 shares

Expires 2027-06-14

F3 · price: This option was issued to the reporting person pursuant to the Reata Non-Employee Director Compensation Policy in lieu of director fees of $55,625.

F1 · derivative.exercise_date: The options vest in 4 equal installments on September 14, 2017, December 14, 2017, March 14, 2018, and June 14, 2018, subject to continued service through each vesting date.

F2 · derivative.underlying: The Class B common stock is convertible into Class A common stock on a one-for-one basis at the holder's election at any time. The conversion right of the Class B common stock has no expiration date.

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June 14, 2017 Filed Jun 16, 2017 09:59 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 GrantStock Option (right to buy) · Derivative 6,000 $0.00 Strike: $25.52 $0.00
Disclosure

SEC source: 0000905148-17-000586 · form4.xml · derivative · entry 1

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Class B common stock · 6,000 shares

Expires 2027-06-14

F1 · derivative.exercise_date: The options vest in 4 equal installments on September 14, 2017, December 14, 2017, March 14, 2018, and June 14, 2018, subject to continued service through each vesting date.

F2 · derivative.underlying: The Class B common stock is convertible into Class A common stock on a one-for-one basis at the holder's election at any time. The conversion right of the Class B common stock has no expiration date.

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December 30, 2016 Filed Jan 4, 2017 16:41 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 9,392 $21.72 $204,038.38
Disclosure

SEC source: 0000905148-17-000017 · 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: 1,926,034

F1 · price: This price reflects the weighted average purchase price for open-market purchases on December 30, 2016, within a $1.00 range. The actual prices for these transactions range from $21.62 to $21.75, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

F5 · ownership.direct: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F5 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder 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.

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December 29, 2016 Filed Dec 30, 2016 08:33 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 OtherCommon Stock 195,330 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-16-033602 · edgar.xml · nonDerivative · entry 5

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Roadrunner Fund, LP

Disclosed balance after: 195,330

F1 · kind: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F1 · price: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F6 · ownership.nature: These securities are held in the name of Roadrunner Fund, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Roadrunner Fund, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Roadrunner Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 29, 2016 Filed Dec 30, 2016 08:33 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 OtherCommon Stock 321,710 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-16-033602 · edgar.xml · nonDerivative · entry 4

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mallard Fund, LP

Disclosed balance after: 321,710

F1 · kind: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F1 · price: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F5 · ownership.nature: These securities are held in the name of Mallard Fund, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Mallard Fund, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Mallard Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 29, 2016 Filed Dec 30, 2016 08:33 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 OtherCommon Stock 51,123 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-16-033602 · edgar.xml · nonDerivative · entry 3

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kestrel Fund, LP

Disclosed balance after: 51,123

F1 · kind: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F1 · price: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F4 · ownership.nature: These securities are held in the name of Kestrel Fund, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Kestrel Fund, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Kestrel Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 29, 2016 Filed Dec 30, 2016 08:33 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 OtherCommon Stock 213,033 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-16-033602 · edgar.xml · nonDerivative · entry 2

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Curlew Fund, LP

Disclosed balance after: 213,033

F1 · kind: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F1 · price: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F3 · ownership.nature: These securities are held in the name of Curlew Fund, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Curlew Fund, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Curlew Fund, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 29, 2016 Filed Dec 30, 2016 08:33 UTC Apollo Endosurgery, Inc. APEN · Entity 114713 OtherCommon Stock 36,608 Not disclosed Not disclosed
Disclosure

SEC source: 0001179110-16-033602 · edgar.xml · nonDerivative · entry 1

McGaughy R Kent Jr · CIK 0001402856 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Crested Crane, LP

Disclosed balance after: 36,608

F1 · kind: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F1 · price: Shares of common stock of the corporation then known as Apollo Endosurgery, Inc. ("Old Apollo") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger and Reorganization, dated as of September 8, 2016, by and among the Issuer, Merger Sub, Inc. and Old Apollo (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of common stock was converted into 0.3163 shares of the Issuer's common stock. Following the merger, the Issuer effected a reverse stock split at a ratio of one new share for every five and one half shares of common stock outstanding.

F2 · ownership.nature: These securities are held in the name of Crested Crane, LP. CPMG, Inc. has sole voting and investment control over the shares owned by Crested Crane, LP. The Managing Directors of CPMG, Inc. have shared voting and investment control over the shares owned by Crested Crane, LP. The Reporting Person is a Managing Director of CPMG, Inc.

F7 · ownership.nature: The Reporting Person disclaims beneficial ownership of the shares of common stock 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 the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 16, 2016 Filed Dec 20, 2016 16:30 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 164,753 $22.99 $3,787,819.75
Disclosure

SEC source: 0000905148-16-002140 · 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: 1,916,642

F1 · price: This price reflects the weighted average purchase price for open-market purchases on December 16, 2016, within a $1.00 range. The actual prices for these transactions range from $22.885 to $23.00, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

F5 · ownership.direct: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F5 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder 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.

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December 15, 2016 Filed Dec 16, 2016 16:17 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 2,700 $22.05 $59,534.46
Disclosure

SEC source: 0000905148-16-002130 · form4.xml · nonDerivative · entry 2

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,751,889

F2 · price: This price reflects the weighted average purchase price for open-market purchases on December 15, 2016, within a $1.00 range. The actual prices for these transactions range from $21.25 to $22.50, inclusive.

F6 · ownership.direct: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F6 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F7 · 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.

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December 14, 2016 Filed Dec 16, 2016 16:17 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 PurchaseClass A common stock 6,189 $21.37 $132,228.60
Disclosure

SEC source: 0000905148-16-002130 · 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: 1,749,189

F1 · price: This price reflects the weighted average purchase price for open-market purchases on December 14, 2016, within a $1.00 range. The actual prices for these transactions range from $20.68 to $21.50, inclusive. The Reporting Person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

F6 · ownership.direct: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F6 · ownership.nature: These shares of Class A common stock are held in various funds for which CPMG, Inc. serves as investment manager. The Reporting Person is a co-director and co-shareholder of CPMG, Inc.

F7 · 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.

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December 07, 2016 Filed Dec 8, 2016 18:25 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 GrantStock Option (right to buy) · Derivative 2,773 $14.54 Strike: $22.57 $40,305.56
Disclosure

SEC source: 0000905148-16-002113 · form4.xml · derivative · entry 2

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,773

Underlying: Class B common stock · 2,773 shares

Expires 2026-12-07

F3 · 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 $40,312.50.

F1 · derivative.exercise_date: The options vest in 2 equal installments on March 7, 2017 and June 7, 2017, subject to continued service through each vesting date.

F2 · derivative.underlying: The Class B common stock is convertible into Class A common stock on a one-for-one basis at the holder's election at any time. The conversion right of the Class B common stock has no expiration date.

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December 07, 2016 Filed Dec 8, 2016 18:25 UTC REATA PHARMACEUTICALS INC RETA · Entity 12293 GrantStock Option (right to buy) · Derivative 6,000 $0.00 Strike: $22.57 $0.00
Disclosure

SEC source: 0000905148-16-002113 · form4.xml · derivative · entry 1

McGaughy R Kent Jr · CIK 0001402856 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Class B common stock · 6,000 shares

Expires 2026-12-07

F1 · derivative.exercise_date: The options vest in 2 equal installments on March 7, 2017 and June 7, 2017, subject to continued service through each vesting date.

F2 · derivative.underlying: The Class B common stock is convertible into Class A common stock on a one-for-one basis at the holder's election at any time. The conversion right of the Class B common stock has no expiration date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.