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ENTA Enanta Pharmaceuticals Inc

15.17
1.26 (9.06%)
04 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Enanta Pharmaceuticals Inc NASDAQ:ENTA NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  1.26 9.06% 15.17 14.70 15.45 15.215 14.21 14.34 124,535 01:00:00

Statement of Changes in Beneficial Ownership (4)

16/12/2020 11:52pm

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
                                                                                  
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 *

Gardiner Nathaniel S.
2. Issuer Name and Ticker or Trading Symbol

ENANTA PHARMACEUTICALS INC [ ENTA ]
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)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ 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 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)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount 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
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Gardiner Nathaniel S.
C/O ENANTA PHARMACEUTICALS, INC.
500 ARSENAL STREET
WATERTOWN, MA 02472


Sr. VP & General Counsel

Signatures
/s/ Nathaniel S. Gardiner12/16/2020
**Signature of Reporting PersonDate

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