FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 03/20/2013 |
3. Issuer Name and Ticker or Trading Symbol
ENANTA PHARMACEUTICALS INC [ ENTA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 35,702(1) | I | By Funds(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series D Convertible Preferred Stock | (3) | (3) | Common Stock | 621,262(4) | (3) | I | By Funds(2) |
Series E Convertible Preferred Stock | (5) | (5) | Common Stock | 924,523(6) | (5) | I | By Funds(2) |
Series G-2 Convertible Preferred Stock | (7) | (7) | Common Stock | 424,014(8) | (7) | I | By Funds(2) |
Stock Purchase Warrant (right to purchase) | (9) | 10/04/2017 | Series 1 Non-Convertible Preferred Stock | 486,245(9) | 0.01 | I | By Funds(2) |
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. This share number consists of (i) 336 shares of Common Stock owned directly by mRNA - Holdings LLC ("mRNA"), (ii) 2,677 shares of Common Stock owned directly by OBP (Adjunct) III - Holdings LLC ("OBP (A) III"), (iii) 4,077 shares of Common Stock owned directly by OBP (Bermuda) III - Holdings LLC ("OBP (B) III") and (iv) 28,612 shares of Common Stock owned directly by OBP III - Holdings LLC ("OBP III", and together with mRNA, OBP (A) III, and OBP (B) III, the "Funds"). |
2. Saints Capital Granite, L.P. ("Saints LP") is a member of each of the Funds and has voting and investment control with respect to the securities owned directly by the Funds. Saints Capital Granite, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP disclaims beneficial ownership of the securities owned directly by the Funds, except to the extent of any pecuniary interest therein, if any, by virtue of its membership interest in the Funds. Saints LLC disclaims beneficial ownership of the securities owned directly by the Funds, except to the extent of any pecuniary interest therein, if any, by virtue of its general partner interests in Saints LP. |
3. The Series D Convertible Preferred Stock has no expiration date and each share of Series D Convertible Preferred Stock will convert automatically into approximately 0.31063 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. |
4. This share number consists of (i) 5,851 shares of Common Stock underlying shares of Series D Convertible Preferred Stock owned directly by mRNA, (ii) 46,594 shares of Common Stock underlying shares of Series D Convertible Preferred Stock owned directly by OBP (A) III, (iii) 70,955 shares of Common Stock underlying shares of Series D Convertible Preferred Stock owned directly by OBP (B) III and (iv) 497,862 shares of Common Stock underlying shares of Series D Convertible Preferred Stock owned directly by OBP III. |
5. The Series E Convertible Preferred Stock has no expiration date and each share of Series E Convertible Preferred Stock will convert automatically into approximately 0.30529 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. |
6. This share number consists of (i) 8,699 shares of Common Stock underlying shares of Series E Convertible Preferred Stock owned directly by mRNA, (ii) 78,319 shares of Common Stock underlying shares of Series E Convertible Preferred Stock owned directly by OBP (A) III, (iii) 104,472 shares of Common Stock underlying shares of Series E Convertible Preferred Stock owned directly by OBP (B) III and (iv) 733,033 shares of Common Stock underlying shares of Series E Convertible Preferred Stock owned directly by OBP III. |
7. The Series G-2 Convertible Preferred Stock has no expiration date and each share of Series G-2 Convertible Preferred Stock will convert automatically into approximately 0.23202 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. |
8. This share number consists of (i) 4,041 shares of Common Stock underlying shares of Series G-2 Convertible Preferred Stock owned directly by mRNA, (ii) 35,064 shares of Common Stock underlying shares of Series G-2 Convertible Preferred Stock owned directly by OBP (A) III, (iii) 47,939 shares of Common Stock underlying shares of Series G-2 Convertible Preferred Stock owned directly by OBP (B) III and (iv) 336,970 shares of Common Stock underlying shares of Series G-2 Convertible Preferred Stock owned directly by OBP III. |
9. These warrants are immediately exercisable and consist of (i) 4,512 shares of Series 1 Non-Voting Convertible Preferred Stock underlying a Stock Purchase Warrant issued to mRNA, (ii) 39,322 shares of Series 1 Non-Voting Convertible Preferred Stock underlying a Stock Purchase Warrant issued to OBP (A) III, (iii) 55,187 shares of Series 1 Non-Voting Convertible Preferred Stock underlying a Stock Purchase Warrant issued to OBP (B) III and (iv) 387,224 shares of Series 1 Non-Voting Convertible Preferred Stock underlying a Stock Purchase Warrant issued to OBP III. |
Saints Capital Granite, L.P., By: Saints Capital Granite, LLC, its General Partner, By: /s/ Scott Halsted, Managing Member | 03/20/2013 | |
Saints Capital Granite, LLC, By: /s/ Scott Halsted, Managing Member | 03/20/2013 | |
mRNA - Holdings LLC, By: /s/ Scott Halsted, Managing Member of Saints Capital Granite LLC, General Partner of Saint Capital Granite, L.P., a Member of mRNA - Holdings LLC | 03/20/2013 | |
OBP (Adjunct) III - Holdings LLC, By: /s/ Scott Halsted, Managing Member of Saints Capital Granite, LLC, General Partner of Saint Capital Granite, L.P., a Member of OBP (Adjunct) III - Holdings LLC | 03/20/2013 | |
OBP (Bermuda) III - Holdings LLC, By: /s/ Scott Halsted, Managing Member of Saints Capital Granite, LLC, General Partner of Saint Capital Granite, L.P., a Member of OBP (Bermuda) III - Holdings LLC | 03/20/2013 | |
OBP III - Holdings LLC, By: /s/ Scott Halsted, Managing Member of Saints Capital Granite, LLC, General Partner of Saint Capital Granite, L.P., a Member of OBP III - Holdings LLC | 03/20/2013 | |
** 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 5 (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. |