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ENANTA PHARMACEUTICALS INC·4

Mar 28, 5:19 PM ET

SCHUHSLER HELMUT 4

4 · ENANTA PHARMACEUTICALS INC · Filed Mar 28, 2013

Insider Transaction Report

Form 4
Period: 2013-03-26
ENANTA PHARMACEUTICALS INCENTA
SCHUHSLER HELMUT
Director10% Owner
Transactions
  • Conversion

    Common Stock

    2013-03-26+236,065→ 236,065 total(indirect: See Note 5.)
  • Conversion

    Common Stock

    2013-03-26+478,247→ 2,399,170 total(indirect: See Note 7.)
  • Conversion

    Series D Convertible Preferred Stock

    2013-03-26−1,130,000→ 500,000 total(indirect: See Note 6.)
    → Common Stock (351,014 underlying)
  • Conversion

    Series E Convertible Preferred Stock

    2013-03-26−563,503→ 3,296,888 total(indirect: See Note 6.)
    → Common Stock (172,030 underlying)
  • Conversion

    Series G-2 Convertible Preferred Stock

    2013-03-26−2,061,246→ 0 total(indirect: See Note 7.)
    → Common Stock (478,247 underlying)
  • Conversion

    Common Stock

    2013-03-26+172,030→ 914,425 total(indirect: See Note 6.)
  • Purchase

    Common Stock

    2013-03-26$14.00/sh+132,949$1,861,286→ 2,532,119 total(indirect: See Note 7.)
  • Conversion

    Series E Convertible Preferred Stock

    2013-03-26−3,296,888→ 0 total(indirect: See Note 7.)
    → Common Stock (1,006,498 underlying)
  • Conversion

    Common Stock

    2013-03-26+351,014→ 587,079 total(indirect: See Note 6.)
  • Conversion

    Common Stock

    2013-03-26+155,316→ 742,395 total(indirect: See Note 5.)
  • Conversion

    Common Stock

    2013-03-26+1,006,498→ 1,920,923 total(indirect: See Note 7.)
  • Conversion

    Series C Convertible Preferred Stock

    2013-03-26−1,017,442→ 0 total(indirect: See Note 5.)
    → Common Stock (236,065 underlying)
  • Conversion

    Series D Convertible Preferred Stock

    2013-03-26−500,000→ 0 total(indirect: See Note 5.)
    → Common Stock (155,316 underlying)
Footnotes (14)
  • [F1]The Series C Convertible Preferred Stock automatically converted into Enanta Pharmaceuticals, Inc. ("Enanta") Common Stock on a 0.23202-for-one basis automatically upon the closing of the initial public offering of Enanta without payment of further consideration and had no expiration date.
  • [F10]Includes 391,381 shares held directly by Medical Ventures and 351,014 shares held directly by TVM IV.
  • [F11]Includes 391,381 shares held directly by Medical Ventures and 523,044 shares held directly by TVM IV.
  • [F12]Includes 391,381 shares held directly by Medical Ventures, 523,044 shares held directly by TVM IV and 1,006,498 shares held directly by TVM V.
  • [F13]Includes 391,381 shares held directly by Medical Ventures, 523,044 shares held directly by TVM IV and 1,484,745 shares held directly by TVM V.
  • [F14]Includes 391,381 shares held directly by Medical Ventures, 523,044 shares held directly by TVM IV and 1,617,694 shares held directly by TVM V.
  • [F2]The Series D Convertible Preferred Stock automatically converted into Enanta Common Stock on a 0.31063-for-one basis automatically upon the closing of the initial public offering of Enanta without payment of further consideration and had no expiration date.
  • [F3]The Series E Convertible Preferred Stock automatically converted into Enanta Common Stock on a 0.30529-for-one basis automatically upon the closing of the initial public offering of Enanta without payment of further consideration and had no expiration date.
  • [F4]The Series G-2 Convertible Preferred Stock automatically converted into Enanta Common Stock on a 0.23202-for-one basis automatically upon the closing of the initial public offering of Enanta without payment of further consideration and had no expiration date.
  • [F5]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 Helmut Schuhsler ("Schuhsler"), 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. Schuhsler disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any.
  • [F6]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 Schuhsler, 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. Schuhsler disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any.
  • [F7]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 for which Schuhsler, one member of the investment committee of TVM V Management, shares voting and investment authority over the shares held by TVM V with the other members of the investment committee. Schuhsler disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, if any.
  • [F8]Includes 236,065 shares held directly by Medical Ventures.
  • [F9]Includes 236,065 shares held directly by Medical Ventures and 351,014 shares held directly by TVM IV.

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