-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, I68wpzzg/cE2DGfy3Bzd+X/TLsshthcd4ExDLn/ZpiyqsjoAorLJhCXYafKXY842 Ohr0xSuS4VrcXAs2eaR/MQ== 0001181431-10-062287.txt : 20101216 0001181431-10-062287.hdr.sgml : 20101216 20101216175547 ACCESSION NUMBER: 0001181431-10-062287 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101214 FILED AS OF DATE: 20101216 DATE AS OF CHANGE: 20101216 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EnteroMedics Inc CENTRAL INDEX KEY: 0001371217 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2800 Patton Rd CITY: St Paul STATE: MN ZIP: 55113 MAIL ADDRESS: STREET 1: 2800 Patton Rd CITY: St Paul STATE: MN ZIP: 55113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDFISCHER CARL CENTRAL INDEX KEY: 0001110780 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33818 FILM NUMBER: 101257845 MAIL ADDRESS: STREET 1: 161 WEST 61ST STREET CITY: NEW YORK STATE: NY ZIP: 10022 4 1 rrd294475.xml FORM 4 FOR CARL GOLDFISCHER (12-2010) X0303 4 2010-12-14 0 0001371217 EnteroMedics Inc ETRM 0001110780 GOLDFISCHER CARL C/O BAY CITY CAPITAL LLC 750 BATTERY STREET, SUITE 400 SAN FRANCISCO CA 94111 1 0 1 0 Common Stock 2010-12-14 4 P 0 1664130 1.74 A 2386980 I See below Common Stock 2010-12-14 4 P 0 35870 1.74 A 51451 I See below Common Stock 2010-12-14 4 C 0 1591707 A 3978687 I See below Common Stock 2010-12-14 4 C 0 34309 A 85760 I See below Series A Preferred Stock 2010-12-14 4 C 0 1591707 0 D Common Stock 1591707 0 I See Footnote Series A Preferred Stock 2010-12-14 4 C 0 34309 0 D Common Stock 34309 0 I See Footnote Common Stock Warrant 2.19 2010-12-14 4 P 0 1664130 0.010 A 2011-06-13 2016-06-13 Common Stock 1664130 3399358 I See Footnote Common Stock Warrant 2.19 2010-12-14 4 P 0 35870 0.010 A 2011-06-13 2016-06-13 Common Stock 35870 73273 I See Footnote The Series A Preferred Stock converted into EnteroMedics Inc. common stock on a 1 for 1 basis and had no expiration date. Represent shares held by Bay City Capital Fund IV, L.P. ("Fund IV"), including the shares held by Dr. Goldfischer; and indirect interests of Bay City Capital LLC ("BCC"), the manager of Bay City Capital Management IV LLC ("Management IV"), and Management IV, the general partner of Fund IV. Dr. Goldfischer is Managing Director of BCC. Dr. Goldfischer, BCC and Management IV each disclaims beneficial ownership is such shares, except to the extent of their pecuniary interest therein. Represent shares held by Bay City Capital Fund IV Co-Investment Fund, L.P. ("Co-Investment IV"), including the shares held by Dr. Goldfischer; and indirect interests of BCC, the manager of Management IV, and Management IV, the general partner of Co-Investment IV. Dr. Goldfischer, BCC and Management IV each disclaims beneficial ownership in such shares, except to the extent of their pecuniary interest therein. Signed by Carl Goldfischer, Managing Director Bay City Capital LLC for itself, for and on behalf of Bay City Capital Management IV LLC in its capacity as manager thereof, and for and on behalf of Bay City Capital Fund IV, L.P. and Bay City Capital Fund IV Co-Investment Fund, L.P. in its capacity as manager of Bay City Capital Management IV LLC, the general partner of Fund IV and Co-Investment IV. /s/ Carl Goldfisher 2010-12-16 -----END PRIVACY-ENHANCED MESSAGE-----