-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HbCmNhTUfbnXWYj58dBZUZtZ3KxAKNvTAvtLLBAsg/dxhzIdVeMkbGiigIVYebWC KZgykYgn4tsjJuVeDvYASw== 0001181431-07-070480.txt : 20071119 0001181431-07-070480.hdr.sgml : 20071119 20071119164102 ACCESSION NUMBER: 0001181431-07-070480 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071115 FILED AS OF DATE: 20071119 DATE AS OF CHANGE: 20071119 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EnteroMedics Inc CENTRAL INDEX KEY: 0001371217 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 000000000 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: Bay City Capital Management IV LLC CENTRAL INDEX KEY: 0001359070 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33818 FILM NUMBER: 071256891 BUSINESS ADDRESS: STREET 1: 750 BATTERY STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-676-3830 MAIL ADDRESS: STREET 1: 750 BATTERY STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAY CITY CAPITAL FUND IV CO INVESMENT FUND LP CENTRAL INDEX KEY: 0001333817 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33818 FILM NUMBER: 071256892 BUSINESS ADDRESS: STREET 1: 750 BATTERY ST STE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 MAIL ADDRESS: STREET 1: 750 BATTERY ST STE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bay City Capital Fund IV, L.P. CENTRAL INDEX KEY: 0001360243 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33818 FILM NUMBER: 071256893 BUSINESS ADDRESS: STREET 1: 750 BATTERY STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-676-3830 MAIL ADDRESS: STREET 1: 750 BATTERY STREET STREET 2: SUITE 600 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAY CITY CAPITAL LLC CENTRAL INDEX KEY: 0001288452 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33818 FILM NUMBER: 071256894 BUSINESS ADDRESS: STREET 1: 750 BATTERY STREET STE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4156763830 MAIL ADDRESS: STREET 1: 750 BATTERY STREET STE 400 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER NAME: FORMER CONFORMED NAME: BAY CITY CAPITAL FUND LLC DATE OF NAME CHANGE: 20040423 4 1 rrd178710.xml BAY CITY FORM 4 PURCHASE 11-15-2007 X0202 4 2007-11-15 0 0001371217 EnteroMedics Inc ETRM 0001288452 BAY CITY CAPITAL LLC 750 BATTERY STREET STE 400 SAN FRANCISCO CA 94111 0 0 1 0 0001360243 Bay City Capital Fund IV, L.P. 750 BATTERY STREET SUITE 600 SAN FRANCISCO CA 94111 0 0 1 0 0001333817 BAY CITY CAPITAL FUND IV CO INVESMENT FUND LP 750 BATTERY ST STE 400 SAN FRANCISCO CA 94111 0 0 1 0 0001359070 Bay City Capital Management IV LLC 750 BATTERY STREET SUITE 600 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 2007-11-15 4 P 0 7912 8.00 A 7912 D Common Stock 2007-11-15 4 P 0 367088 8.00 A 367088 D Series B Convertible Preferred Stock Common Stock 26756 26756 D Series B Convertible Preferred Stock Common Stock 1241304 1241304 D Series C Convertible Preferred Stock Common Stock 20940 20940 D Series C Convertible Preferred Stock Common Stock 971501 971501 D Common Stock Warrant 0.46 2010-12-12 Common Stock 1160 1160 D Common Stock Warrant 0.46 2010-12-12 Common Stock 53786 53786 D The convertible preferred stock will automatically convert one-to-one into common stock upon completion of the initial public offering. Bay City Capital Fund IV, L.P. ("Fund IV"), Bay City Capital Fund IV Co-Investment Fund, L.P. ("Co-Investment IV"), Bay City Capital Management IV LLC ("Management IV") and Bay City Capital LLC ("BCC") are deemed to be a "group" for the purposes of Section 13(d) under the Securities Exchange Act of 1934. Represents shares held by Co-Investment IV; and indirect interests of BCC, the manager of Management IV, and Management IV, the general partner of Co-Investment IV. BCC and Management IV each disclaims beneficial ownership in such shares, except to the extent of their pecuniary interest therein. Represents shares held by Fund IV; and indirect interests of BCC, the manager of Management IV, and Management IV, the general partner of Fund IV. BCC and Management IV each disclaims beneficial ownership in such shares, except to the extent of their pecuniary interest therein. Immediately exercisable. Signed by Carl Goldfischer, Managing Director Bay City Capital LLC for itself, for and on behalf of Bay City Capital Management IV LLC in its capacity as manager thereof, and for and on behalf of Bay City Capital Fund IV, L.P. and Bay City Capital Fund IV Co-Investment Fund, L.P. in its capacity as manager of Bay City Capital Management IV LLC, the general partner of Fund IV and Co-Investment IV. /s/ Carl Goldfischer 2007-11-15 -----END PRIVACY-ENHANCED MESSAGE-----