Statement of Ownership (sc 13g)
September 18 2014 - 5:59AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of
1934
(Amendment No. )
ENANTA PHARMACEUTICALS, INC.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
29251M106
(CUSIP Number)
September 12, 2014
(Date of Event Which Requires Filing of
this Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
|
¨ |
Rule 13d-1(b) |
|
|
|
|
x |
Rule 13d-1(c) |
|
|
|
|
¨ |
Rule 13d-1(d) |
* The remainder of this cover page shall be filled out for a
reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment
containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page
shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
CUSIP No. 29251M106 |
13G |
Page 2 of 5 Pages |
1. |
Names of Reporting Persons
Alan J. Dworsky |
2. |
Check the Appropriate Box if a Member of a Group
(See Instructions)
(a) ¨
(b) ¨
|
3. |
SEC Use Only
|
4. |
Citizenship or Place of Organization
United States
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
5.
|
Sole Voting Power
438,540
|
6. |
Shared Voting Power
559,616
|
7. |
Sole Dispositive Power
438,540
|
8. |
Shared Dispositive Power
559,616
|
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
998,156
|
10. |
Check if the Aggregate Amount
in Row (9) Excludes Certain Shares
¨
(See Instructions)
|
11. |
Percent of Class Represented by Amount in Row (9)
5.4%
|
12. |
Type of Reporting Person (See Instructions)
IN
|
|
|
|
|
CUSIP No. 29251M106 |
13G |
Page 3 of 5 Pages |
Enanta Pharmaceuticals, Inc.
(the “Issuer”).
| Item 1(b). | Address of Issuer’s Principal Executive Offices |
500 Arsenal Street, Watertown,
MA 02472.
| Item 2(a). | Name of Person Filing |
Alan J. Dworsky
| Item 2(b). | Address of Principal Offices or, if None, Residence |
8 Mercer Circle, Cambridge,
MA 02138
Mr. Dworsky is a United States citizen.
| Item 2(d). | Title of Class of Securities |
Common stock (“Common
Stock”).
29251M106
| Item 3. | If the statement is being filed pursuant to Rule 13d-1(b)
or 13d-2(b) or (c), check whether the filing person is a: |
Not Applicable
(a) Amount beneficially
owned:
Mr. Dworsky beneficially owns an aggregate
of 998,156 shares of Common Stock comprised of (i) 559,616 shares held by the Alan J. Dworsky 1988 Trust u/d/t dated January 6,
1988, as amended, of which Mr. Dworsky is a trustee and over which shares Mr. Dworsky has shared voting and dispositive power,
(ii) 559,616 shares held by the Alan J. Dworsky Grandchildren’s Trusts u/d/t dated July 14, 1995, as amended, of which Mr.
Dworsky is a trustee and over which shares Mr. Dworsky has sole voting and dispositive power, and (iii) 97,309 shares held by the
Popplestone Foundation u/d/t dated August 15, 2000, of which Mr. Dworsky is a trustee and has sole voting and dispositive power.
(b) Percent of
class:
5.4%, based upon 18,582,628
shares of Common Stock outstanding as of August 8, 2014, as reported in the Issuer’s Quarterly Report on Form 10-Q for the
quarter ended June 30, 2014.
(c) Number of shares
as to which the person has:
(i) Sole power
to vote or direct the vote: 438,540
(ii) Shared
power to vote or direct the vote: 559,616
CUSIP No. 29251M106 |
13G |
Page 4 of 5 Pages |
(iii) Sole
power to dispose or to direct the disposition of: 438,540
(iv) Shared
power to dispose or to direct the disposition of: 559,616
| Item 5. | Ownership of Five Percent or Less of a Class |
Not Applicable
| Item 6. | Ownership of More Than Five Percent on Behalf of Another
Person |
Not Applicable
| Item 7. | Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person |
Not Applicable
| Item 8. | Identification and Classification of Members of the Group |
Not Applicable
| Item 9. | Notice of Dissolution of Group |
Not Applicable
By signing below I
certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the
purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and
are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best
of the knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true,
complete and correct.
Dated: September 17, 2014
/s/ Alan J. Dworsky
Alan J. Dworsky
Attention. Intentional misstatements or omissions of
fact constitute Federal criminal violations (see 18 U.S.C. 1001).
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