Statement of Changes in Beneficial Ownership (4)
October 02 2013 - 6:32PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
SAINTS CAPITAL GRANITE, L.P.
|
2. Issuer Name
and
Ticker or Trading Symbol
ENANTA PHARMACEUTICALS INC
[
ENTA
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O SAINTS CAPITAL SERVICES, LLC, 475 SANSOME STREET, SUITE 1850
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/30/2013
|
(Street)
SAN FRANCISCO, CA 94111
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
9/30/2013
|
|
S
|
|
135
|
D
|
$23.1298
|
19420
|
I
|
See Footnote
(1)
|
Common Stock
|
10/1/2013
|
|
S
|
|
1753
|
D
|
$23.5406
|
17667
|
I
|
See Footnote
(1)
|
Common Stock
|
9/30/2013
|
|
S
|
|
1160
|
D
|
$23.1298
|
167083
|
I
|
See Footnote
(2)
|
Common Stock
|
10/1/2013
|
|
S
|
|
15079
|
D
|
$23.5406
|
152004
|
I
|
See Footnote
(2)
|
Common Stock
|
9/30/2013
|
|
S
|
|
1622
|
D
|
$23.1298
|
233334
|
I
|
See Footnote
(3)
|
Common Stock
|
10/1/2013
|
|
S
|
|
21058
|
D
|
$23.5406
|
212276
|
I
|
See Footnote
(3)
|
Common Stock
|
9/30/2013
|
|
S
|
|
11383
|
D
|
$23.1298
|
1637838
|
I
|
See Footnote
(4)
|
Common Stock
|
10/1/2013
|
|
S
|
|
147810
|
D
|
$23.5406
|
1490028
|
I
|
See Footnote
(4)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
The shares are directly owned by mRNA - Holdings LLC ("mRNA"). Saints Capital Granite, L.P. ("Saints LP") is a member of mRNA and has voting and investment control with respect to the securities owned directly by mRNA. Saints Capital Granite, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose.
|
(
2)
|
The shares are directly owned by OBP (Adjunct) III - Holdings LLC ("OBP (A) III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP (A) III and has voting and investment control with respect to the securities owned directly by OBP (A) III. Saints Capital Granite, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose.
|
(
3)
|
The shares are directly owned by OBP (Bermuda) III - Holdings LLC ("OBP (B) III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP (B) III and has voting and investment control with respect to the securities owned directly by OBP (B) III. Saints Capital Granite, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose.
|
(
4)
|
The shares are directly owned by OBP III - Holdings LLC ("OBP III"). Saints Capital Granite, L.P. ("Saints LP") is a member of OBP III and has voting and investment control with respect to the securities owned directly by OBP III. Saints Capital Granite, LLC ("Saints LLC") is the general partner of Saints LP. Saints LP and Saints LLC disclaim beneficial ownership of these securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of such securities for Section 16 or any other purpose.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
SAINTS CAPITAL GRANITE, L.P.
C/O SAINTS CAPITAL SERVICES, LLC
475 SANSOME STREET, SUITE 1850
SAN FRANCISCO, CA 94111
|
|
X
|
|
|
Saints Capital Granite, LLC
475 SANSOME STREET, SUITE 1850
SAN FRANCISCO, CA 94111
|
|
X
|
|
|
mRNA - Holdings LLC
475 SANSOME STREET, SUITE 1850
SAN FRANCISCO, CA 94111
|
|
X
|
|
|
OBP (Adjunct) III - Holdings LLC
475 SANSOME STREET, SUITE 1850
SAN FRANCISCO, CA 94111
|
|
X
|
|
|
OBP (Bermuda) III - Holdings LLC
475 SANSOME STREET, SUITE 1850
SAN FRANCISCO, CA 94111
|
|
X
|
|
|
OBP III - Holdings LLC
475 SANSOME STREET, SUITE 1850
SAN FRANCISCO, CA 94111
|
|
X
|
|
|
Signatures
|
Saint Capital Granite, L.P., By: Saints Capital Granite, LLC, its General Partner, /s/ Kenneth B. Sawyer, Managing Member
|
|
10/2/2013
|
**
Signature of Reporting Person
|
Date
|
Saints Capital Granite, LLC, By: /s/ Kenneth B. Sawyer, Managing Member
|
|
10/2/2013
|
**
Signature of Reporting Person
|
Date
|
mRNA Holdings LLC, By: /s/ Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of mRNA Holdings LLC
|
|
10/2/2013
|
**
Signature of Reporting Person
|
Date
|
OBP (Adjunct) III - Holding LLC, By: /s/ Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP (Adjunct) III - Holdings LLC
|
|
10/2/2013
|
**
Signature of Reporting Person
|
Date
|
OBP (Bermuda) III - Holdings LLC, By: /s/ Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP (Bermuda) III - Holdings LLC
|
|
10/2/2013
|
**
Signature of Reporting Person
|
Date
|
OBP III - Holdings LLC, By: /s/ Kenneth B. Sawyer, Managing Member of Saints Capital Granite, LLC, General Partner of Saints Capital Granite, L.P., a Member of OBP III - Holdings LLC
|
|
10/2/2013
|
**
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 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 control number.
|
Enanta Pharmaceuticals (NASDAQ:ENTA)
Historical Stock Chart
From Jun 2024 to Jul 2024
Enanta Pharmaceuticals (NASDAQ:ENTA)
Historical Stock Chart
From Jul 2023 to Jul 2024