0001179110-17-008065.txt : 20170526 0001179110-17-008065.hdr.sgml : 20170526 20170526151052 ACCESSION NUMBER: 0001179110-17-008065 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170525 FILED AS OF DATE: 20170526 DATE AS OF CHANGE: 20170526 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: 17873660 MAIL ADDRESS: STREET 1: 161 WEST 61ST STREET CITY: NEW YORK STATE: NY ZIP: 10022 4 1 edgar.xml FORM 4 - X0306 4 2017-05-25 0 0001371217 EnteroMedics Inc ETRM 0001110780 GOLDFISCHER CARL 2800 PATTON ROAD ST. PAUL MN 55113 1 0 0 0 Common Stock 2017-05-25 4 S 0 4571 4.85 A 0 I See footnote (1) Common Stock 2017-05-25 4 S 0 97 4.85 A 0 I See footnote note (2) Director Option (Right to Buy) 50410.5 2008-03-25 2018-03-24 Common Stock 3 3 D Director Option (Right to Buy) 12159 2009-05-05 2019-05-05 Common Stock 1 1 D Director Option (Right to Buy) 2646 2010-05-06 2020-05-06 Common Stock 1 1 D Director Option (Right to Buy) 2761.5 2011-05-05 2021-05-05 Common Stock 9 9 D Director Option (Right to Buy) 2908.5 2012-05-09 2022-05-09 Common Stock 9 9 D Director Option (Right to Buy) 924 2013-05-08 2023-05-08 Common Stock 9 9 D Director Option (Right to Buy) 1932 2014-05-07 2024-05-07 Common Stock 23 23 D Director Option (Right to Buy) 1176 2015-05-06 2025-05-06 Common Stock 23 23 D Director Option (Right to Buy) 1176 2015-06-06 2025-05-06 Common Stock 23 23 D Director Option (Right to Buy) 52.50 2016-05-04 2026-05-04 Common Stock 42 42 D Director Option (Right to Buy) 7.12 2017-02-08 2027-02-08 Common Stock 35000 35000 D Represents 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 in such shares, except to the extent of their pecuniary interest therein. Represents 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. 25% of the shares shall vest immediately, and the remaining shares shall vest 1/36 per month thereafter, as long as the reporting person remains a director of the company. 25% of the shares subject to the option are exercisable immediately. The remaining 75% of the shares subject to the option shall vest in a series of thirty-six (36) successive equal monthly installments upon completion of each month over the three (3) year period measured from the date shown. Option vests in successive installments of 1/12th per month beginning the date shown. The price reported is the weighted average sale price for the transactions reported. The prices received ranged from $4.75 to $5.00. The Reporting Person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each price within the range. Carl Goldfischer by Scott P. Youngstrom, Attorney in Fact 2017-05-26