Filing Details
- Accession Number:
- 0001181431-11-050461
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-26 18:10:50
- Reporting Period:
- 2011-09-23
- Filing Date:
- 2011-09-26
- Accepted Time:
- 2011-09-26 18:10:50
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1371217 | Enteromedics Inc | ETRM | Electromedical & Electrotherapeutic Apparatus (3845) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1288452 | Bay City Capital Llc | 750 Battery Street Suite 400 San Francisco CA 94111 | No | No | Yes | No | |
1333817 | Bay City Capital Fund Iv Co Invesment Fund Lp | 750 Battery Street Suite 400 San Francisco CA 94111 | No | No | Yes | No | |
1359070 | Bay City Capital Management Iv Llc | 750 Battery Street Suite 400 San Francisco CA 94111 | No | No | Yes | No | |
1360243 | Bay City Capital Fund Iv, L.p. | C/O Bay City Capital Llc 750 Battery Street, Suite 400 San Francisco CA 94111 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2011-09-23 | 822,276 | $1.65 | 4,800,964 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2011-09-23 | 17,724 | $1.65 | 103,484 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrant | Acquisiton | 2011-09-23 | 164,455 | $0.00 | 164,455 | $1.90 |
Common Stock | Common Stock Warant | Acquisiton | 2011-09-23 | 3,545 | $0.00 | 3,545 | $1.90 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
3,563,814 | 2011-09-23 | 2016-09-28 | No | 4 | P | Direct |
76,817 | 2011-09-23 | 2016-09-28 | No | 4 | P | Direct |
Footnotes
- 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 purpose of Section 13(d) under the Securities Exchange Act of 1934.
- Represent 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 is such shares, except to the extent of their pecuniary interest therein.
- Represent 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.