Statement of Changes in Beneficial Ownership (4)
November 22 2016 - 6:11PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
MELLETT PAUL J
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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)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Treasurer and CFO
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(Last)
(First)
(Middle)
C/O ENANTA PHARMACEUTICALS, INC., 500 ARSENAL STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/18/2016
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(Street)
WATERTOWN, MA 02472
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. 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
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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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$30.00
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11/18/2016
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A
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30000
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(1)
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11/18/2026
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Common Stock
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30000
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$0
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30000
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D
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Restricted Stock Units
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(2)
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11/18/2016
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A
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10500
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(3)
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(3)
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Common Stock
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10500
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$0
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10500
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D
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Explanation of Responses:
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(
1)
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Such option will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 18, 2016).
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(
2)
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Restricted stock units convert into shares of common stock on a one-for-one basis.
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(
3)
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Such restricted stock units will vest as to one half the shares on the third anniversary of the date of award (November 18, 2019) and the remainder on the fourth anniversary of the date of award (November 18, 2020). The restricted stock unit shares that vest will be issued on the first December 15 after the applicable vesting date, subject to withholding of a portion of the vested shares to satisfy tax withholding requirements.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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MELLETT PAUL J
C/O ENANTA PHARMACEUTICALS, INC.
500 ARSENAL STREET
WATERTOWN, MA 02472
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Treasurer and CFO
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Signatures
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/s/ Nathaniel S. Gardiner as attorney-in-fact
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11/22/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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