| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ENANTA PHARMACEUTICALS INC [ ENTA ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/09/2013 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 10/09/2013 | S | 236 | D | $22 | 17,315 | I | See Footnote(1) | ||
| Common Stock | 10/09/2013 | S | 2,030 | D | $22 | 148,975 | I | See Footnote(2) | ||
| Common Stock | 10/09/2013 | S | 2,835 | D | $22 | 208,046 | I | See Footnote(3) | ||
| Common Stock | 10/09/2013 | S | 19,899 | D | $22 | 1,460,339 | I | See Footnote(4) | ||
| Common Stock | 10/10/2013 | S | 106 | D | $21.0563 | 17,209 | I | See Footnote(1) | ||
| Common Stock | 10/10/2013 | S | 910 | D | $21.0563 | 148,065 | I | See Footnote(2) | ||
| Common Stock | 10/10/2013 | S | 1,271 | D | $21.0563 | 206,775 | I | See Footnote(3) | ||
| Common Stock | 10/10/2013 | S | 8,920 | D | $21.0563 | 1,451,419 | I | See Footnote(4) | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. The shares are directly owned by mRNA - Holdings LLC ("mRNA"). Saints Capital Granite, L.P. ("Saints LP") is a member of mRNA and has voting and investment control with respect to the securities owned directly by mRNA. Saints Capital Grainte, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose. |
| 2. The shares are directly owned by OBP (Adjunct) III - Holdings LLC ("OBP (A) III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP (A) III and has voting and investment control with respect to the securities owned directly by OBP (A) III. Saints Capital Grainte, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose. |
| 3. The shares are directly owned by OBP (Bermuda) III - Holdings LLC ("OBP (B) III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP (B) III and has voting and investment control with respect to the securities owned directly by OBP (B) III. Saints Capital Grainte, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose. |
| 4. The shares are directly owned by OBP III - Holdings LLC ("OBP III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP III and has voting and investment control with respect to the securities owned directly by OBP III. Saints Capital Grainte, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose. |
| Saints Capital Grainte, L.P., By: Saints Capital Granite, LLC, its General Partner, By: Kenneth B. Sawyer, Managing Member | 10/11/2013 | |
| Saints Capital Granite, LLC, By: Kenneth B. Sawyer, Managing Member | 10/11/2013 | |
| mRNA - Holdings LLC, By: Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of mRNA - Holdings LLC | 10/11/2013 | |
| OBP (Adjunct) III - Holdings LLC, By: Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP (Adjunct) III - Holdings LLC | 10/11/2013 | |
| OBP (Bermuda) III - Holdings LLC, By: Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP (Bermuda) III - Holdings LLC | 10/11/2013 | |
| OBP III - Holdings LLC, By: Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP III - Holdings LLC | 10/11/2013 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||