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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TVM V LIFE SCIENCE VENTURES GMBH & CO KG C/O TVM CAPITAL CROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X | |||
TVM V Life Science Ventures Management GmbH & Co. KG C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X | |||
TVM IV GMBH & CO KG C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X | |||
TVM IV Management GmbH & Co. KG C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X | |||
TVM MEDICAL VENTURES GMBH & CO KG C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X | |||
TVM Capital GmbH C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X | |||
Birner Hubert C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X | |||
Fischer Stefan C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X | |||
Goll Alexandra C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH, 2M 80333 |
X |
/s/ Josef Moosholzer, Managing Limited Partner of TVM V Life Science Ventures Management GmbH & Co. KG, managing limited partner of TVM V Life Science Ventures GmbH & Co. KG | 02/25/2014 | |
**Signature of Reporting Person | Date | |
/s/ Josef Moosholzer, Managing Limited Partner of TVM V Life Science Ventures Management GmbH & Co. KG | 02/25/2014 | |
**Signature of Reporting Person | Date | |
/s/ Josef Moosholzer, Managing Limited Partner of TVM IV Mangement GmbH & Co. KG, managing limited partner of TVM IV GmbH & Co. KG | 02/25/2014 | |
**Signature of Reporting Person | Date | |
/s/ Josef Moosholzer, Managing Limited Partner of TVM IV Mangement GmbH & Co. KG | 02/25/2014 | |
**Signature of Reporting Person | Date | |
/s/ Josef Moosholzer, Managing Limited Partner of TVM Capital GmbH, general partner of TVM Medical Ventures GmbH & Co. KG | 02/25/2014 | |
**Signature of Reporting Person | Date | |
/s/ Josef Moosholzer, Managing Limited Partner of TVM Capital GmbH | 02/25/2014 | |
**Signature of Reporting Person | Date | |
/s/ Rolf Starck by power of Attorney for Hubert Birner | 02/25/2014 | |
**Signature of Reporting Person | Date | |
/s/ Rolf Starck by power of Attorney for Stefan Fischer | 02/25/2014 | |
**Signature of Reporting Person | Date | |
/s/ Rolf Starck by power of Attorney for Alexandra Goll | 02/25/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The shares are directly held by TVM Medical Ventures GmbH & Co. KG ("Medical Ventures"), the general partner of which is TVM Capital GmbH ("TVM Capital"), for which Alexandra Goll ("Goll"), one member of the investment committee of TVM Capital, shares voting and investment authority over the shares held by Medical Ventures with the other member of the investment committee. Each of TVM Capital and Goll disclaims beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any. |
(2) | The shares are directly held by TVM IV GmbH & Co. KG ("TVM IV"), the managing limited partner of which is TVM IV Management GmbH & Co. KG ("TVM IV Management"), for which Goll, one member of the investment committee of TVM IV Management, shares voting and investment authority over the shares held by TVM IV with the other members of the investment committee. Each of TVM IV Management and Goll disclaims beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any. |
(3) | The shares are directly held by TVM V Life Science Ventures GmbH & Co. KG ("TVM V"), the managing limited partner of which is TVM V Life Science Ventures Management GmbH & Co. KG ("TVM V Management"), for which Hubert Birner ("Birner"), Stefan Fischer ("Fischer") and Goll, each a member of the investment committee of TVM V Management, shares voting and investment authority over the shares held by TVM V. Each of TVM V Management, Birner, Fischer and Goll disclaims beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.80 to $40.00, inclusive. Each Reporting Person undertakes to provide to Enanta Pharmaceuticals, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission ("SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |