09/08/2025 | Press release | Distributed by Public on 09/08/2025 16:01
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (2) | 11/16/2028 | Common Stock | 7,110 | $81.2 | D | |
Stock Option (right to buy) | (2) | 11/18/2029 | Common Stock | 10,000 | $63.35 | D | |
Stock Option (right to buy) | (2) | 11/20/2030 | Common Stock | 4,987 | $43.57 | D | |
Stock Option (right to buy) | (3) | 11/19/2031 | Common Stock | 6,048 | $75.33 | D | |
Stock Option (right to buy) | (4) | 11/23/2032 | Common Stock | 5,571 | $45 | D | |
Stock Option (right to buy) | (5) | 11/22/2033 | Common Stock | 9,075 | $8.99 | D | |
Stock Option (right to buy) | (6) | 11/27/2034 | Common Stock | 10,175 | $8.83 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Trout Harry R. III C/O ENANTA PHARMACEUTICALS, INC. 4 KINGSBURY AVENUE WATERTOWN, MA 02472 |
Vice President, Finance |
/s/ Matthew Kowalsky as attorney-in-fact | 09/08/2025 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Consists of 762 shares of common stock held by the reporting person and 10,150 shares of common stock underlying unvested restricted stock units ("RSUs") granted under the Enanta Pharmaceuticals, Inc. ("Enanta") 2019 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of Enanta common stock. The RSUs will vest and settle as follows: (i) 359 RSUs will vest and settle on December 1, 2025, (ii) 1,300 RSUs will vest and settle in two substantially equal annual installments beginning on December 4, 2025, (iii) 3,403 RSUs will vest and settle in three substantially equal annual installments beginning on December 4, 2025, and (iv) 5,088 RSUs will vest and settle in four substantially equal annual installments beginning on December 1, 2025. |
(2) | 100% of the shares subject to the option are fully vested and exercisable. |
(3) | Such option has or 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 19, 2021). |
(4) | Such option has or 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 23, 2022). |
(5) | Such option has or 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 22, 2023). |
(6) | Such option has or 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 27, 2024). |
Remarks: Exhibit 24 Power of Attorney filed herewith. |