0001209191-16-103380.txt : 20160229 0001209191-16-103380.hdr.sgml : 20160229 20160229162803 ACCESSION NUMBER: 0001209191-16-103380 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160225 FILED AS OF DATE: 20160229 DATE AS OF CHANGE: 20160229 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: LEA GREGORY S CENTRAL INDEX KEY: 0001218536 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33818 FILM NUMBER: 161468173 MAIL ADDRESS: STREET 1: C/O PEMSTAR INC STREET 2: 3535 TECHNOLOGY DR NW CITY: ROCHESTER STATE: MN ZIP: 55901 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-02-25 0 0001371217 EnteroMedics Inc ETRM 0001218536 LEA GREGORY S 2800 PATTON ROAD ST. PAUL MN 55113 0 1 0 0 CFO and CCO Common Stock 184 D Stock Option (right to buy) 28.50 2017-10-29 Common Stock 1114 1114 D Stock Option (right to buy) 28.50 2017-10-29 Common Stock 260 260 D Stock Option (right to buy) 28.50 2017-10-29 Common Stock 1074 1074 D Stock Option (right to buy) 28.50 2017-10-29 Common Stock 973 973 D Stock Option (right to buy) 56.70 2019-11-18 Common Stock 1111 1111 D Warrant (common stock right to buy) 32.85 Common Stock 666 666 D Stock Option (right to buy) 38.70 2021-02-16 Common Stock 13333 13333 D Stock Option (right to buy) 40.05 2021-07-12 Common Stock 15000 15000 D Stock Option (right to buy) 28.50 2021-12-14 Common Stock 8333 8333 D Stock Option (right to buy) 50.25 2012-08-10 2022-07-10 Common Stock 57543 57543 D Stock Option (right to buy) 19.65 2013-06-30 2023-05-31 Common Stock 66885 66885 D Stock Option (right to buy) 16.65 2015-04-09 2025-03-09 Common Stock 11666 11666 D Stock Option (right to buy) 1.07 2016-02-25 4 A 0 50000 0.00 A 2016-02-25 2026-02-25 Common Stock 50000 50000 D On January 6, 2016, EnteroMedics Inc. effected a 1-for-15 reverse stock split of its issued and outstanding shares of common stock, par value $0.01 per share, resulting in a proportional decrease in the total shares of common stock beneficially owned by the reporting person. all previously reported exercise prices, option grants and similar instruments convertible into common stock were proportionally adjusted to reflect the reverse split. Options currently 100% vested. Warrant becomes exercisable 181 days from the date of issuance at close of offering. Warrant expires five years from date it first becomes exercisable. Vests in increments of 1/48th per month, beginning the date shown. THIS FILING REFLECTS THE POST SPLIT NUMBERS OF ALL SHARES, OPTIONS AND SIMILAR INSTRUMENTS HELD BY THE REPORTING PERSON AS PREVIOUSLY REPORTED. /s/ Greg S. Lea 2016-02-29