Or Yat Sun

SEC source: 0001177648-19-000025 · edgar.xml · nonDerivative · entry 2

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,673

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2016

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $103.66 to $104.20, inclusive.

SEC source: 0001177648-19-000025 · edgar.xml · nonDerivative · entry 1

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,763

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2016

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $102.66 to $103.62, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 11

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,673

F9 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 10

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,666

F8 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on January 4, 2017 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 9

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,416

F7 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on January 4, 2017 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 8

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,916

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2016

F6 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.13, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · derivative · entry 14

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,149

Underlying: Common Stock · 8,772 shares

Expires 2022-12-26

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000007 · edgar.xml · derivative · entry 13

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,926

Underlying: Common Stock · 6,956 shares

Expires 2023-03-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F11 · derivative.exercise_date: The option, representing a right to purchase 41,763 shares of common stock, became or will become exercisable in up to nine installments, six of which are installments of 8.33% of the shares and three of which are installments of 16.67% of the shares, based on Enanta's achievement of certain clinical milestones with respect to three or more programs that progress to clinical development. As of the date of this filing, a total of 50% of the shares subject to the option have become exercisable.

SEC source: 0001177648-19-000007 · edgar.xml · derivative · entry 12

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,672

Underlying: Common Stock · 10,249 shares

Expires 2022-06-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F10 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 7

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,213

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2016

F5 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $91.16 to $91.35, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 6

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,384

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2016

F4 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.785, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 5

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,091

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2016

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $89.00 to $89.99, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 4

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,062

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2016

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $88.08 to $88.99, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 3

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,897

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 2

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,125

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 1

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,169

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001177648-18-000042 · edgar.xml · derivative · entry 1

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-11-16

F1 · derivative.exercise_date: Such option 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 16, 2018).

SEC source: 0001177648-18-000002 · edgar.xml · nonDerivative · entry 3

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,920

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-18-000002 · edgar.xml · nonDerivative · entry 2

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,586

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on December 21, 2015 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2018.

SEC source: 0001177648-18-000002 · edgar.xml · nonDerivative · entry 1

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,317

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on December 21, 2015 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2018.

SEC source: 0001177648-17-000038 · edgar.xml · derivative · entry 1

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,500

Underlying: Common Stock · 23,500 shares

Expires 2027-11-17

F1 · derivative.exercise_date: Such option 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 17, 2017).

SEC source: 0001177648-17-000026 · edgar.xml · derivative · entry 1

Or Yat Sun · CIK 0001571212 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,963

Underlying: Common Stock · 6,963 shares

Expires 2023-03-20

F1 · balance_after: On March 20, 2013, the reporting person was granted an option to purchase 41,763 shares of common stock, which becomes reportable on Form 4 only if and to the extent that the option becomes exercisable. The option becomes exercisable in up to nine installments, based on Enanta's achievement of certain clinical milestones with respect to three or more programs that progress in clinical development. This report reflects the additional shares that became exercisable upon achievement of two of the milestones. As of the date of this filing, a total of 50% of the shares subject to the option have become exercisable.

SEC source: 0001177648-17-000009 · edgar.xml · nonDerivative · entry 2

Or Yat Sun · CIK 0001571212 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,717

F2 · shares: Represents the number of shares of common stock forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU award.

SEC source: 0001177648-17-000009 · edgar.xml · nonDerivative · entry 1

Or Yat Sun · CIK 0001571212 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,796

F1 · shares: Represents shares of common stock issued upon vesting of a performance share unit ("PSU") award granted on February 20, 2015 as a result of the achievement of a clinical development milestone in 2016 and the settlement and issuance of those shares of common stock on Febuary 13, 2017.

SEC source: 0001177648-17-000002 · edgar.xml · nonDerivative · entry 1

Or Yat Sun · CIK 0001571212 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,876

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2016 to provide liquidity for tax payments due on account of prior option exercises.

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $35.0000 to $35.2800, inclusive.

SEC source: 0001571212-16-000005 · edgar.xml · nonDerivative · entry 1

Or Yat Sun · CIK 0001571212 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,797

F1 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $31.3100 to $31.5400, inclusive.

SEC source: 0001177648-16-000012 · edgar.xml · derivative · entry 2

Or Yat Sun · CIK 0001571212 · Chief Scientific Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,500

Underlying: Common Stock · 10,500 shares

Expires not disclosed

F2 · derivative.exercise_price: Restricted stock units convert into shares of common stock on a one-for-one basis.

F3 · derivative.exercise_date: Such restricted stock units will vest as to one half the shares on the third anniversary of the date of award (November 18, 2019) and the remainder on the fourth anniversary of the date of award (November 18, 2020). The restricted stock unit shares that vest will be issued on the first December 15 after the applicable vesting date, subject to withholding of a portion of the vested shares to satisfy tax withholding requirements.

F3 · derivative.expiration_date: Such restricted stock units will vest as to one half the shares on the third anniversary of the date of award (November 18, 2019) and the remainder on the fourth anniversary of the date of award (November 18, 2020). The restricted stock unit shares that vest will be issued on the first December 15 after the applicable vesting date, subject to withholding of a portion of the vested shares to satisfy tax withholding requirements.

SEC source: 0001177648-16-000012 · edgar.xml · derivative · entry 1

Or Yat Sun · CIK 0001571212 · Chief Scientific Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2026-11-18

F1 · derivative.exercise_date: Such option 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 18, 2016).

SEC source: 0001571212-16-000002 · edgar.xml · derivative · entry 1

Or Yat Sun · CIK 0001571212 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,478

Underlying: Common Stock · 3,478 shares

Expires 2023-03-20

F1 · balance_after: On March 20, 2013, the reporting person was granted an option to purchase 41,763 shares of common stock, which becomes reportable on Form 4 only if and to the extent that the option becomes exercisable. The option becomes exercisable in up to nine installments, based on Enanta's achievement of certain clinical milestones with respect to three or more programs that progress in clinical development. This report reflects the additional shares that became exercisable upon achievement of one of the milestones. As of the date of this filing, a total of 33.33% of the shares subject to the option have become exercisable.