SEC Form 4 · accession 0001177648-19-000013
ENANTA PHARMACEUTICALS INC · ENTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nathaniel S. Gardiner
Officer — Sr. VP & General Counsel
Period of report
Feb 12, 2019
Accepted (ET)
Feb 13, 2019 · 9:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001177648
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 12, 2019 | A | 4,000 | $0.00 | A | 21,827 | D | |
| Common StockF2 | Feb 12, 2019 | A | 10,000 | $0.00 | A | 31,827 | D | |
| Common StockF3 | Feb 12, 2019 | F | 4,579 | $88.88 | D | 27,248 | D | |
| Common StockF5 | Feb 13, 2019 | S | 3,270 | $95.279 | D | 23,978 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on January 4, 2017 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2019.
- F2Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on January 4, 2017 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2019.
- F3Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.
- F4The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in August 2018.
- F5The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $95.00 to $95.76, inclusive.