SEC Form 4 · accession 0001177648-16-000020
ENANTA PHARMACEUTICALS INC · ENTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tim Ocain
Officer — Senior Vice President
Period of report
Nov 18, 2016
Accepted (ET)
Nov 22, 2016 · 6:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001177648
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $30.00 | Nov 18, 2016 | A | 25,000 | A | — | Nov 18, 2026 | Common Stock | 25,000 | 25,000 | D |
| Restricted Stock UnitsF2,F3 | — | Nov 18, 2016 | A | 10,500 | A | — | — | Common Stock | 10,500 | 10,500 | D |
Explanation of responses
- F1Such option will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 18, 2016).
- F2Restricted stock units convert into shares of common stock on a one-for-one basis.
- F3Such restricted stock units will vest as to one half the shares on the third anniversary of the date of award (November 18, 2019) and the remainder on the fourth anniversary of the date of award (November 18, 2020). The restricted stock unit shares that vest will be issued on the first December 15 after the applicable vesting date, subject to withholding of a portion of the vested shares to satisfy tax withholding requirements.