Amended Statement of Ownership (sc 13g/a)
February 03 2016 - 12:52PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of
1934
(Amendment No. 2)*
ENANTA PHARMACEUTICALS, INC.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
29251M106
(CUSIP Number)
December 31, 2015
(Date of Event Which Requires Filing of
this Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
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Rule 13d-1(b) |
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X |
Rule 13d-1(c) |
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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/A |
Page 2 of 6 Pages |
1. |
Names of Reporting Persons
Alan J. Dworsky |
2. |
Check the Appropriate Box if a Member of a Group (a) ¨
(See Instructions) (b) ¨
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3. |
SEC Use Only
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4. |
Citizenship or Place of Organization
United States
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH |
5.
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Sole Voting Power
543,540
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6. |
Shared Voting Power
871,445
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7. |
Sole Dispositive Power
543,540
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8. |
Shared Dispositive Power
871,445
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,414,985
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10. |
Check if the Aggregate Amount
in Row (9) Excludes Certain Shares ¨
(See Instructions)
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11. |
Percent of Class Represented by Amount in Row (9)
7.5%
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12. |
Type of Reporting Person (See Instructions)
IN
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CUSIP No. 29251M106 |
13G/A |
Page 3 of 6 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.
| Item2 (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) |
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
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(b) |
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
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(c) |
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
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(d) |
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Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
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(e) |
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An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E); |
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(f) |
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An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F); |
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(g) |
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G); |
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(h) |
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A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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(i) |
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A church plan that is excluded from the definition of an investment company under Section |
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3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3); |
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(j) |
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A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J); |
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(k) |
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Group, in accordance with § 240.13d-1(b)(1)(ii)(K). |
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CUSIP No. 29251M106 |
13G/A |
Page 4 of 6 Pages |
If filing as a non-U.S. institution in
accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:__________________________________________________________________________
| (a) | Amount beneficially owned: |
Mr. Dworsky beneficially owns an aggregate
of 1,414,985 shares of Common Stock comprised of (i) 871,445 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) 386,231 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) 157,309 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.
7.5%, based upon 18,873,679
shares of Common Stock outstanding as of January 5, 2016, as reported in the Issuer’s Definitive Proxy Statement filed with
the Securities and Exchange Commission on January 13, 2016.
| (c) | Number of shares as to which the person has: |
(i) Sole power
to vote or direct the vote: 543,540
(ii) Shared
power to vote or direct the vote: 871,445
(iii) Sole
power to dispose or to direct the disposition of: 543,540
(iv) Shared
power to dispose or to direct the disposition of: 871,445
| 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
CUSIP No. 29251M106 |
13G/A |
Page 5 of 6 Pages |
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 my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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Dated: February
3, 2016 |
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/s/
Alan J. Dworsky |
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Alan J. Dworsky |
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Attention. Intentional misstatements or omissions of
fact constitute Federal criminal violations (see 18 U.S.C. 1001).
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