Form 3 Filing: ENTA officer Kathleen Capps discloses RSUs and option grants

Rhea-AI Filing Summary

Enanta Pharmaceuticals (ENTA) Form 3: Kathleen S. Capps reports beneficial ownership tied to her role as Executive Director, Accounting & Controller and director/officer of Enanta. She directly holds 5,829 shares represented by unvested RSUs and a series of stock options exercisable between 04/01/2026 and 11/27/2034 covering named share amounts. The filing lists vesting schedules for RSUs and exercise prices for each option.

Positive

• Detailed disclosure of direct holdings: 5,829 common shares represented by RSUs with explicit vesting schedules
• Comprehensive listing of stock options including exercisable dates, share amounts, and exercise prices (e.g., 497 shares at $29.68, 8,125 shares at $63.35, etc.)
• Compliance with Section 16 filing: relationship to issuer and signature by attorney-in-fact are provided

Negative

• None.

Insights

Financial Analyst

TL;DR: Routine initial ownership disclosure showing RSUs and multiple option grants with staggered vesting and exercise prices.

The Form 3 documents an initial beneficial ownership position for a company officer and director. It discloses 5,829 common shares represented by RSUs with specific vesting tranches and multiple stock options with stated exercisable dates and exercise prices. This is a standard Section 16 filing that provides transparency on executive equity compensation but contains no financial results or transactions altering outstanding share counts.

Corporate Governance Expert

TL;DR: Governance disclosure is complete for an initial Form 3, listing role, holdings, and option vesting terms.

The filing properly identifies the reporting persons titles and discloses direct ownership via RSUs and fully or partially exercisable options. It includes detailed vesting schedules and exercise prices, and is signed by an attorney-in-fact. The information supports insider transparency and compliance with Section 16 filing requirements.

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Capps Kathleen S.

(Last) (First) (Middle)

C/O ENANTA PHARMACEUTICALS, INC.

4 KINGSBURY AVENUE

(Street)

WATERTOWN MA 02472

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/26/2025

3. Issuer Name and Ticker or Trading Symbol
ENANTA PHARMACEUTICALS INC [ ENTA ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	See Remarks

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	5,829(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	(2)	04/01/2026	Common Stock	497	$29.68	D
Stock Option (right to buy)	(2)	11/18/2026	Common Stock	2,668	$30	D
Stock Option (right to buy)	(2)	11/17/2027	Common Stock	5,950	$48.52	D
Stock Option (right to buy)	(2)	11/16/2028	Common Stock	7,000	$81.2	D
Stock Option (right to buy)	(2)	11/18/2029	Common Stock	8,125	$63.35	D
Stock Option (right to buy)	(2)	11/20/2030	Common Stock	5,402	$43.57	D
Stock Option (right to buy)	(3)	11/19/2031	Common Stock	4,914	$75.33	D
Stock Option (right to buy)	(4)	11/23/2032	Common Stock	3,482	$45	D
Stock Option (right to buy)	(5)	11/22/2033	Common Stock	5,250	$8.99	D
Stock Option (right to buy)	(6)	11/27/2034	Common Stock	5,513	$8.83	D

Explanation of Responses:

1. Represents shares of common stock underlying unvested restricted stock units ("RSUs") granted under the Enanta Pharmaceuticals, Inc. ("Enanta") 2019 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of Enanta common stock. The RSUs will vest and settle as follows: (i) 293 RSUs will vest and settle on December 1, 2025, (ii) 812 RSUs will vest and settle in two substantially equal annual installments beginning on December 4, 2025, (iii) 1,968 RSUs will vest and settle in three substantially equal annual installments beginning on December 4, 2025, and (iv) 2,756 RSUs will vest and settle in four substantially equal annual installments beginning on December 1, 2025.

2. 100% of the shares subject to the option are fully vested and exercisable.

3. Such option has or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 19, 2021).

4. Such option has or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 23, 2022).

5. Such option has or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 22, 2023).

6. Such option has or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 27, 2024).

Remarks:

Executive Director, Accounting & Controller; Exhibit 24 Power of Attorney filed herewith.

	/s/ Matthew Kowalsky as attorney-in-fact	09/08/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

How many shares does Kathleen S. Capps report owning on Form 3 for ENTA?

The filing reports 5,829 shares of common stock represented by unvested RSUs held directly.

What stock options are disclosed for Kathleen S. Capps on the ENTA Form 3?

The Form 3 lists multiple stock options with amounts and exercise prices, including 497 shares at $29.68, 2,668 at $30, 5,950 at $48.52, and others through 5,513 at $8.83 exercisable through 11/27/2034.

What is the reporting persons role at Enanta (ENTA)?

The filing states the reporting person is an Executive Director, Accounting & Controller and is identified as a director/officer of the issuer.

Are the RSU vesting terms specified in the ENTA Form 3?

Yes. The RSUs will vest in specified tranches: 293 on 12/01/2025 and the remainder in multi-year installment schedules beginning in December 2025 as detailed in the filing.

When was the event requiring this Form 3 reported?

The Date of Event requiring the statement is reported as 08/26/2025.