0001209191-15-025245.txt : 20150311
0001209191-15-025245.hdr.sgml : 20150311
20150311170929
ACCESSION NUMBER: 0001209191-15-025245
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150309
FILED AS OF DATE: 20150311
DATE AS OF CHANGE: 20150311
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: 15693504
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
2015-03-09
0
0001371217
EnteroMedics Inc
ETRM
0001218536
LEA GREGORY S
2800 PATTON ROAD
ST. PAUL
MN
55113
0
1
0
0
SVP, CFO and COO
Common Stock
2750
D
Stock Option (right to buy)
1.90
2010-10-29
2017-10-29
Common Stock
16711
16711
D
Stock Option (right to buy)
1.90
2010-10-29
2017-10-29
Common Stock
3913
3913
D
Stock Option (right to buy)
1.90
2010-10-29
2017-10-29
Common Stock
16118
16118
D
Stock Option (right to buy)
1.90
2010-10-29
2017-10-29
Common Stock
14597
14597
D
Stock Option (right to buy)
3.78
2019-11-18
Common Stock
16666
16666
D
Warrant (common stock right to buy)
2.19
Common Stock
10000
10000
D
Stock Option (right to buy)
2.58
2011-03-16
2021-02-16
Common Stock
200000
200000
D
Stock Option (right to buy)
2.67
2011-08-12
2021-07-12
Common Stock
225000
225000
D
Stock Option (right to buy)
1.90
2012-01-14
2021-12-14
Common Stock
125000
125000
D
Stock Option (right to buy)
3.35
2012-08-10
2022-07-10
Common Stock
863156
863156
D
Stock Option (right to buy)
1.31
2013-06-30
2023-05-31
Common Stock
1003280
1003280
D
Stock Option (right to buy)
1.11
2015-03-09
4
A
0
175000
0.00
A
2015-04-09
2025-03-09
Common Stock
175000
175000
D
The total amount noted has been reduced to reflect a correction to the number of shares held by the reporting person based on a Form 5 concurrently filed with this report. All filings made from 2013 to date are deemed to be amended to reflect the correction in shares held.
Options vest 33% on date noted and thereafter at 1/24th per month.
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.
The exercise price is the closing price on July 10, 2012, the date the board authorized the grants subject to stockholder approval of the increase in the number of shares available for awards under the incentive plan, which was obtained on September 27, 2012.
/s/ Greg S. Lea
2015-03-11