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
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.
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.
Insider Trade Summary
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Stock Option (right to buy) | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Footnotes (6)
- F1. 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.
- F2. 100% of the shares subject to the option are fully vested and exercisable.
- F3. 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).
- F4. 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).
- F5. 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).
- F6. 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).
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