Statement of Changes in Beneficial Ownership (4)
December 16 2020 - 6:52PM
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
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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
*
Gardiner Nathaniel S. |
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) Sr. VP & General Counsel |
(Last)
(First)
(Middle)
C/O ENANTA PHARMACEUTICALS, INC., 500 ARSENAL STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/15/2020 |
(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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Common Stock | 12/15/2020 | | M | | 5250.0 (1) | A | (2) | 43788 | D | |
Common Stock | 12/15/2020 | | F | | 1540.0 (3) | D | $42.52 | 42248 | D | |
Common Stock | | | | | | | | 16645.0 | I | By grantor retained annuity trusts (4) |
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) | 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 |
Restricted Stock Units | (2) | 12/15/2020 | | M | | | 5250.0 | (5) | (5) | Common Stock | 5250.0 | $0.0 | 0.0 | D | |
Explanation of Responses: |
(1) | Represents shares of ENTA common stock subject to a restricted stock unit award granted on November 18, 2016 that vested on November 18, 2020. The settlement and issuance of the shares was subject to continued employment and occurred on December 15, 2020. |
(2) | Restricted stock units convert into ENTA common stock on a one-for-one basis. |
(3) | Represents the number of shares of ENTA common stock forfeited by the reporting person to cover withholding taxes due as a result of settlement of the restricted stock unit award. |
(4) | These shares are held by grantor retained annuity trusts created by the reporting person for the benefit of himself and his two adult children. |
(5) | On November 18, 2016, the reporting person was granted 10,500 restricted stock units. 5,250 restricted stock units have previously vested and the remainder vested on November 18, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gardiner Nathaniel S. C/O ENANTA PHARMACEUTICALS, INC. 500 ARSENAL STREET WATERTOWN, MA 02472 |
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| Sr. VP & General Counsel |
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Signatures
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/s/ Nathaniel S. Gardiner | | 12/16/2020 |
**Signature of Reporting Person | Date |
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