0001181431-12-052298.txt : 20120928
0001181431-12-052298.hdr.sgml : 20120928
20120928171639
ACCESSION NUMBER: 0001181431-12-052298
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120927
FILED AS OF DATE: 20120928
DATE AS OF CHANGE: 20120928
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KNUDSON MARK B
CENTRAL INDEX KEY: 0001243513
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33818
FILM NUMBER: 121117580
MAIL ADDRESS:
STREET 1: C/O DIAMETRICS MEDICAL INC
STREET 2: 2658 PATTON ROAD
CITY: ROSEVILLE
STATE: MN
ZIP: 55113
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
4
1
rrd355194.xml
KNUDSON FORM 4 SEPT 2012 OPTGRANT
X0306
4
2012-09-27
0
0001371217
EnteroMedics Inc
ETRM
0001243513
KNUDSON MARK B
2800 PATTON ROAD
ST. PAUL
MN
55113
1
1
0
0
Chrmn, Pres & CEO
Common Stock
1382
I
Spouse Revocable Trust
Common Stock
3215
I
Family Limited Partnership
Common Stock
57571
I
Revocable Trust 2003
Stock Option (right to buy)
2.76
2004-08-16
2014-08-16
Common Stock
11575
11575
D
Stock Option (right to buy)
2.76
2015-04-27
Common Stock
7915
7915
D
Stock Option (right to buy)
2.76
2007-04-20
2016-04-20
Common Stock
6776
6776
D
Stock Option (right to buy)
1.90
2010-10-29
2017-10-29
Common Stock
33432
33432
D
Stock Option (right to buy)
1.90
2010-10-29
2017-10-29
Common Stock
25902
25902
D
Stock Option (right to buy)
1.90
2010-10-29
2017-10-29
Common Stock
44131
44131
D
Warrant (Right to Buy)
8.28
2009-08-24
2013-02-24
Common Stock
5498
5498
I
Revocable Trust 2003
Stock Option (right to buy)
1.90
2010-10-29
2017-10-29
Common Stock
50472
50472
D
Stock Option (right to buy)
3.78
2009-11-18
2019-11-18
Common Stock
20833
20833
D
Warrant (Common Stock)
2.19
Common Stock
25000
25000
D
Stock Option (right to buy)
2.58
2011-03-16
2021-02-16
Common Stock
350000
350000
D
Stock Option (right to buy)
2.67
2011-08-12
2021-07-12
Common Stock
350000
350000
D
Stock Option (right to buy)
1.90
2012-01-14
2021-12-14
Common Stock
200000
200000
D
Stock Option (right to buy)
3.35
2012-09-27
4
A
0
1292225
0.00
A
2012-08-10
2022-07-10
Common Stock
1292225
1292225
D
32,968 shares vest immediately, of the remaining shares 25% vest on the first anniversary of the date of grant and thereafter at 1/36th per month for 36 months, beginning the date shown.
Currently 100% vested in accordance with achievement of milestone vesting terms.
Vests 25% on the first anniversary of the date of grant and 1/36th per month for 36 months thereafter, beginning the date shown.
25% vests immediately and the remaining 75% vests on 11/15/2010; 100% of unvested shares become vested upon change in control.
Options vest 33% on date noted and thereafter at 1/24th per month.
Warrant becomes exercisable 181 days from the date of issuance at close of offering.
Warrant expires five years from the date it 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 stock incentive plan, which was obtained on September 27, 2012.
/s/ Greg S. Lea, Attorney in Fact for Mark B. Knudson
2012-09-28