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