SEC FORM
4
SEC Form 4
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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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*
C/O TVM CAPITAL |
MAXIMILIANSTRASSE 35C |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ENANTA PHARMACEUTICALS INC
[ ENTA ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 03/26/2013
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
03/26/2013 |
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C |
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236,065 |
A |
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236,065 |
I |
See Note 5.
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Common Stock |
03/26/2013 |
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C |
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351,014 |
A |
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587,079 |
I |
See Note 6.
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Common Stock |
03/26/2013 |
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C |
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155,316 |
A |
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742,395 |
I |
See Note 5.
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Common Stock |
03/26/2013 |
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C |
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172,030 |
A |
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914,425 |
I |
See Note 6.
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Common Stock |
03/26/2013 |
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C |
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1,006,498 |
A |
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1,920,923 |
I |
See Note 7.
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Common Stock |
03/26/2013 |
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C |
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478,247 |
A |
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2,399,170 |
I |
See Note 7.
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Common Stock |
03/26/2013 |
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P |
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132,949 |
A |
$14
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2,532,119 |
I |
See Note 7.
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series C Convertible Preferred Stock |
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03/26/2013 |
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C |
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1,017,442 |
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Common Stock |
236,065 |
$0
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0 |
I |
See Note 5.
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Series D Convertible Preferred Stock |
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03/26/2013 |
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C |
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1,130,000 |
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Common Stock |
351,014 |
$0
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500,000 |
I |
See Note 6.
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Series D Convertible Preferred Stock |
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03/26/2013 |
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C |
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500,000 |
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Common Stock |
155,316 |
$0
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0 |
I |
See Note 5.
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Series E Convertible Preferred Stock |
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03/26/2013 |
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C |
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563,503 |
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Common Stock |
172,030 |
$0
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3,296,888 |
I |
See Note 6.
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Series E Convertible Preferred Stock |
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03/26/2013 |
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C |
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3,296,888 |
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Common Stock |
1,006,498 |
$0
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0 |
I |
See Note 7.
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Series G-2 Convertible Preferred Stock |
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03/26/2013 |
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C |
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2,061,246 |
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Common Stock |
478,247 |
$0
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0 |
I |
See Note 7.
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Explanation of Responses: |
Remarks: |
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Rolf Starck by power of attorney for Helmut Schuhsler |
03/28/2013 |
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** 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. |
POWER OF ATTORNEY
KNOWN ALL MEN BY THESE PRESENTS, that the undersigned hereby makes, constitutes and appoints
Rolf Starck, as the undersigned's true and lawful attorney-in-fact and agent for him and in his
name, place and stead, in any and all capacities, to sign any and all documents relating to any
and all Securities and Exchange Commission filings which may be required, granting unto such
attorney-in-fact and agent full power and authority to do and perform each and every act and
thing requisite and necessary to be done in and about the premises, as fully to all intents and
purposes as he might or could do in person, thereby ratifying and confirming all that such
attorney-in-fact may lawfully do or cause to be done by virtue hereof.
This power shall continue in effect until terminated in writing.
By: /s/ Helmut Schuhsler
Helmut Schuhsler
Dated: March 19, 2013