0001209191-18-055466.txt : 20181017
0001209191-18-055466.hdr.sgml : 20181017
20181017200653
ACCESSION NUMBER: 0001209191-18-055466
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20181017
FILED AS OF DATE: 20181017
DATE AS OF CHANGE: 20181017
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Thorp Clay
CENTRAL INDEX KEY: 0001592380
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38697
FILM NUMBER: 181127416
MAIL ADDRESS:
STREET 1: C/O HATTERAS VENTURE PARTNERS III, LP
STREET 2: 280 S. MANGUM ST., SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PhaseBio Pharmaceuticals Inc
CENTRAL INDEX KEY: 0001169245
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 030375697
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1 GREAT VALLEY PARKWAY
STREET 2: SUITE 30
CITY: MALVERN
STATE: PA
ZIP: 19355
BUSINESS PHONE: (610) 981-6500
MAIL ADDRESS:
STREET 1: 1 GREAT VALLEY PARKWAY
STREET 2: SUITE 30
CITY: MALVERN
STATE: PA
ZIP: 19355
FORMER COMPANY:
FORMER CONFORMED NAME: Phase Biosciences Inc
DATE OF NAME CHANGE: 20061013
FORMER COMPANY:
FORMER CONFORMED NAME: DT BIOSCIENCES INC
DATE OF NAME CHANGE: 20020315
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2018-10-17
0
0001169245
PhaseBio Pharmaceuticals Inc
PHAS
0001592380
Thorp Clay
C/O PHASEBIO PHARMACEUTICALS, INC.
1 GREAT VALLEY PARKWAY, SUITE 30
MALVERN
PA
19355
1
0
1
0
Common Stock
11799
D
Series 1 Preferred Stock
Common Stock
52690
I
By Hatteras Venture Partners I, LP
Series 1 Preferred Stock
Common Stock
42530
I
By Hatteras Venture Partners III, LP
Series 1 Preferred Stock
Common Stock
3862
I
By Hatteras Venture Affiliates III, LP
Series 1 Preferred Stock
Common Stock
4846
I
By Catalysta Ventures, LLC
Series AA Preferred Stock
Common Stock
174699
I
By Hatteras Venture Partners III, LP
Series AA Preferred Stock
Common Stock
13609
I
By Hatteras Venture Affiliates III, LP
Series B Preferred Stock
Common Stock
1026161
I
By Hatteras Venture Partners III, LP
Series B Preferred Stock
Common Stock
93185
I
By Hatteras Venture Affiliates III, LP
Series C-1 Preferred Stock
Common Stock
103001
I
By Hatteras Venture Partners III, LP
Series C-1 Preferred Stock
Common Stock
9353
I
By Hatteras Venture Affiliates III, LP
Series D Preferred Stock
Common Stock
272107
I
By Hatteras Venture Partners III, LP
Series D Preferred Stock
Common Stock
24709
I
By Hatteras Venture Affiliates III, LP
Series D Preferred Stock
Common Stock
226061
I
By Venture Capital Multiplier Fund
Warrants to Purchase Series B Preferred Stock
9.66
2019-12-22
Series B Preferred Stock
7910
I
By Hatteras Venture Partners III, LP
Warrants to Purchase Series B Preferred Stock
0.12
Series B Preferred Stock
19061
I
By Hatteras Venture Partners III, LP
Warrants to Purchase Series B Preferred Stock
9.66
2019-12-22
Series B Preferred Stock
718
I
By Hatteras Venture Affiliates III, LP
Warrants to Purchase Series B Preferred Stock
0.12
Series B Preferred Stock
1731
I
By Hatteras Venture Affiliates III, LP
Warrants to Purchase Series C-1 Preferred Stock
0.12
Series C-1 Preferred Stock
47458
I
By Hatteras Venture Partners III, LP
Warrants to Purchase Series C-1 Preferred Stock
0.12
Series C-1 Preferred Stock
4309
I
By Hatteras Venture Affiliates III, LP
Warrants to Purchase Series C-1 Preferred Stock
0.12
Series C-1 Preferred Stock
41414
I
By Venture Capital Multiplier Fund
Each share of Preferred Stock is convertible at any time at the option of the holder into Common Stock, has no expiration date and will convert into shares of Common Stock on a one-for one basis upon the closing of the Issuer's initial public offering.
Catalysta Ventures, LLC ("Catalysta") is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta. The reporting person is a manager of Catalysta and may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The reporting person disclaims beneficial ownership of the securities held by Catalysta and HVP I except to the extent of his pecuniary interest therein.
Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of his pecuniary interest therein.
Immediately exercisable.
The warrants terminate upon the closing of the Issuer's initial public offering.
Exhibit List - Exhibit 24 - Power of Attorney
/s/ Darren K. DeStefano, Attorney-in-Fact
2018-10-17
EX-24.3_814007
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of Christian Plaza, Darren DeStefano, Madison Jones, Owen
Williams, Jason Drory and Jennifer Don of Cooley LLP and John Sharp of PhaseBio
Pharmaceuticals, Inc. (the "Company"), signing individually, the undersigned's
true and lawful attorneys-in-fact and agents to:
(1) Prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the Securities and Exchange Commission (the "SEC") a Form ID,
Uniform Application for Access Codes to File on EDGAR, including amendments
thereto, and any other documents necessary or appropriate to obtain codes and
passwords enabling the undersigned to make electronic filings with the SEC of
reports required by Section 16(a) of the Securities Exchange Act of 1934, as
amended (the "Exchange Act"), or any rule or regulation thereunder;
(2) Prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the SEC Forms 3, 4 and 5 (including amendments thereto and joint
filing agreements in connection therewith) in accordance with Section 16(a) of
the Exchange Act and the rules thereunder in the undersigned's capacity as an
officer, director or beneficial owner of more than 10% of a registered class of
securities of the Company;
(3) Do and perform any and all acts for and on behalf of the undersigned that
may be necessary or desirable to prepare and execute any such Form 3, 4 or 5
(including amendments thereto and joint filing agreements in connection
therewith) and file such forms with the SEC and any stock exchange,
self-regulatory association or any similar authority; and
(4) Take any other action of any type whatsoever in connection with the
foregoing that, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required of the undersigned, it being
understood that the documents executed by the attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as the attorney-in-fact may approve in the
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney in fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney in fact, or such attorney
in fact's substitute or substitutes, shall lawfully do or cause to be done by
virtue of this power of attorney and the rights and powers herein granted. The
undersigned acknowledges that the foregoing attorneys-in-fact, and their
substitutes, in serving in such capacity at the request of the undersigned, are
not assuming (nor is the Company assuming) any of the undersigned's
responsibilities to comply with Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until the earliest
to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5
with respect to the undersigned's holdings of and transactions in securities
issued by the Company, (b) revocation by the undersigned in a signed writing
delivered to the Company and the foregoing attorneys-in fact or (c) as to any
attorney-in-fact individually, until such attorney-in-fact is no longer employed
by the Company or Cooley LLP, as applicable.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of the date written below.
Date: 10/3/18
Signature: /s/ Clay B. Thorp
Name: Clay B. Thorp