SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
TVM V LIFE SCIENCE VENTURES GMBH & CO KG

(Last) (First) (Middle)
C/O TVM CAPITAL CROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ENANTA PHARMACEUTICALS INC [ ENTA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/26/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 03/26/2013 C 236,065 A (1) 236,065 D (5)
Common Stock 03/26/2013 C 351,014 A (2) 351,014 D (6)
Common Stock 03/26/2013 C 155,316 A (2) 391,381 D (5)
Common Stock 03/26/2013 C 172,030 A (3) 523,044 D (6)
Common Stock 03/26/2013 C 1,006,498 A (3) 1,006,498 D (7)
Common Stock 03/26/2013 C 478,247 A (4) 1,484,745 D (7)
Common Stock 03/26/2013 P 132,949 A $14 1,617,694 D (7)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series C Convertible Preferred Stock (1) 03/26/2013 C 1,017,442 (1) (1) Common Stock 236,065 $0 0 D (5)
Series D Convertible Preferred Stock (2) 03/26/2013 C 1,130,000 (2) (2) Common Stock 351,014 $0 0 D (6)
Series D Convertible Preferred Stock (2) 03/26/2013 C 500,000 (2) (2) Common Stock 155,316 $0 0 D (5)
Series E Convertible Preferred Stock (3) 03/26/2013 C 563,503 (3) (3) Common Stock 172,030 $0 0 D (6)
Series E Convertible Preferred Stock (3) 03/26/2013 C 3,296,888 (3) (3) Common Stock 1,006,498 $0 0 D (7)
Series G-2 Convertible Preferred Stock (4) 03/26/2013 C 2,061,246 (4) (4) Common Stock 478,247 $0 0 D (7)
1. Name and Address of Reporting Person*
TVM V LIFE SCIENCE VENTURES GMBH & CO KG

(Last) (First) (Middle)
C/O TVM CAPITAL CROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TVM V Life Science Ventures Management GmbH & Co. KG

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
MAXIMILIANSTRASSE 35 C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TVM IV GMBH & CO KG

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TVM IV Management GmbH & Co. KG

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TVM MEDICAL VENTURES GMBH & CO KG

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TVM Capital GmbH

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Birner Hubert

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Fischer Stefan

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Goll Alexandra

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
MAXIMILIANSTRASSE 35C

(Street)
MUNICH 2M 80539

(City) (State) (Zip)
Explanation of Responses:
1. 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.
2. 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.
3. 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.
4. 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.
5. 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 Alexandra Goll ("Goll"), 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. Each of TVM Capital and Goll disclaims beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any.
6. 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 Goll, 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. Each of TVM IV Management and Goll disclaims beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any.
7. 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 Hubert Birner ("Birnner"), Stefan Fischer ("Fischer") and Goll, each a member of the investment committee of TVM V Management, shares voting and investment authority over the shares held by TVM V. Each of TVM V Management, Birner, Fischer and Goll disclaims beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any.
Remarks:
/s/ Josef Moosholzer, Managing Limited Partner of TVM V Life Science Ventures Management GmbH & Co. KG, managing limited partner of TVM V Life Science Ventures GmbH & Co. KG 03/28/2013
/s/ Josef Moosholzer, Managing Limited Partner of TVM V Life Science Ventures Management GmbH & Co. KG 03/28/2013
/s/ Josef Moosholzer, Managing Limited Partner of TVM IV Mangement GmbH & Co. KG, managing limited partner of TVM IV GmbH & Co. KG 03/28/2013
/s/ Josef Moosholzer, Managing Limited Partner of TVM IV Mangement GmbH & Co. KG 03/28/2013
/s/ Josef Moosholzer, Managing Limited Partner of TVM Capital GmbH, general partner of TVM Medical Ventures GmbH & Co. KG 03/28/2013
/s/ Josef Moosholzer, Managing Limited Partner of TVM Capital GmbH 03/28/2013
/s/ Rolf Starck by power of Attorney for Hubert Birner 03/28/2013
/s/ Rolf Starck by power of Attorney for Stefan Fischer 03/28/2013
/s/ Rolf Starck by power of Attorney for Alexandra Goll 03/28/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.