Filing Details
- Accession Number:
- 0001181431-11-050463
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-09-26 18:11:13
- Reporting Period:
- 2011-09-23
- Filing Date:
- 2011-09-26
- Accepted Time:
- 2011-09-26 18:11:13
- 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 |
---|---|---|---|---|---|---|---|
1110780 | Carl Goldfischer | C/O Bay City Capital Llc 750 Battery Street, Suite 400 San Francisco CA 94111 | Yes | 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 | Indirect | See below |
Common Stock | Acquisiton | 2011-09-23 | 17,724 | $1.65 | 103,484 | No | 4 | P | Indirect | See below |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See below |
No | 4 | P | Indirect | See below |
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 Warrant | 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 | Indirect |
76,817 | 2011-09-23 | 2016-09-28 | No | 4 | P | Indirect |
Footnotes
- Represent shares held by Bay City Capital Fund IV, L.P. ("Fund IV"), including the shares held by Dr. Goldfischer; and indirect interests of Bay City Capital LLC ("BCC"), the manager of Bay City Capital Management IV LLC ("Management IV"), and Management IV, the general partner of Fund IV. Dr. Goldfischer is Managing Director of BCC. Dr. Goldfischer, BCC and Management IV each disclaims beneficial ownership is such shares, except to the extent of their pecuniary interest therein.
- Represent shares held by Bay City Capital Fund IV Co-Investment Fund, L.P. ("Co-Investment IV"), including the shares held by Dr. Goldfischer; and indirect interests of BCC, the manager of Management IV, and Management IV, the general partner of Co-Investment IV. Dr. Goldfischer, BCC and Management IV each disclaims beneficial ownership in such shares, except to the extent of their pecuniary interest therein.