|
FORM 3
|
Washington, D.C. 20549 |
OMB APPROVAL
OMB Number: 3235-0104 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
|
|
|
| 1. Name and Address of Reporting Person * WHITEBOX ADVISORS LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
|
3. Issuer Name and Ticker or Trading Symbol EnteroMedics Inc [ETRM] |
|
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below) ___ X ___ Other (specify below) / See Remarks below |
|
|
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_ X _ 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 (1) | 1932600 | I (2) | See Footnote (3) |
|
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||
|
1. Title of Derivate Security
(Instr. 4) |
2. Date Exercisable and Expiration Date
(MM/DD/YYYY) |
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: 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 | ||||
| Warrants (1) | 6/13/2011 | 6/13/2016 | Common Stock Warrants | 1700000 | $2.19 | I (2) | See Footnote (3) |
|
Remarks:
Based on the relationships described in notes (1) and (2), the entities referenced therein may be deemed to constitute a group for purposes of Rule 13d-5(b)(1) under the Securities and Exchange Act of 1934. The filing of this statement shall not be construed as an admission that WA, WMSA, WMSP, WSCLSEA, WSCLSEP, PSA, PSP, and HFR are a group, or have agreed to act as a group. WA, WMSA, WMSP, WSCLSEA, WSCLSEP, PSA, PSP, and HFR each disclaim beneficial ownership of the shares of common stock reported herein except to the extent of their pecuniary interest in such shares. |
|
Reporting Owners
|
|||||
| Reporting Owner Name / Address |
|
||||
| Director | 10% Owner | Officer | Other | ||
|
WHITEBOX ADVISORS LLC
3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS, MN 55416 |
|
X |
|
See Remarks below | |
|
Whitebox Multi-Strategy Partners LP
3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS, MN 55416 |
|
X |
|
See Remarks Below | |
|
Whitebox Small Cap Long Short Equity Advisors, LLC
3033 EXCELSIOR BOULEVARD SUITE 300 MINNEAPOLIS, MN 55416 |
|
X |
|
See Remarks Below | |
|
Pandora Select Partners, L.P.
3033 EXCELSIOR BOULEVARD, SUITE 300 MINNEAPOLIS, MN 55416 |
|
X |
|
See Remarks Below | |
|
HFR MASTER TRUSTS
65 FRONT STREET HAMILTON HM 11, D0 |
|
X |
|
See Remarks Below | |
|
Signatures
|
||
| /s/ Jonathan D. Wood, Chief Operating Officer, on behalf of Whitebox Advisors, LLC | 3/7/2011 | |
| ** 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 control number. | |