0001209191-18-056051.txt : 20181024 0001209191-18-056051.hdr.sgml : 20181024 20181024161945 ACCESSION NUMBER: 0001209191-18-056051 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181022 FILED AS OF DATE: 20181024 DATE AS OF CHANGE: 20181024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thorp Clay CENTRAL INDEX KEY: 0001592380 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136616 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-10-22 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 Common Stock 2018-10-22 4 C 0 52690 A 52690 I By Hatteras Venture Partners I, LP Common Stock 2018-10-22 4 C 0 1683420 A 1683420 I By Hatteras Venture Partners III, LP Common Stock 2018-10-22 4 P 0 137513 5.00 A 1820933 I By Hatteras Venture Partners III, LP Common Stock 2018-10-22 4 C 0 150612 A 150612 I By Hatteras Venture Affiliates III, LP Common Stock 2018-10-22 4 P 0 12487 5.00 A 163099 I By Hatteras Venture Affiliates III, LP Common Stock 2018-10-22 4 C 0 4846 A 4846 I By Catalysta Ventures, LLC Common Stock 2018-10-22 4 C 0 266481 A 266481 I By Venture Capital Multiplier Fund Common Stock 2018-10-22 4 P 0 150000 5.00 A 416481 I By Venture Capital Multiplier Fund Warrants to Purchase Series B Preferred Stock 0.12 2018-10-22 4 M 0 19061 0.00 D Series B Preferred Stock 19061 0 I By Hatteras Venture Partners III, LP Series B Preferred Stock 2018-10-22 4 M 0 19061 0.12 A Common Stock 19061 1045222 I By Hatteras Venture Partners III, LP Series B Preferred Stock 2018-10-22 4 S 0 458 5.00 D Common Stock 458 1044764 I By Hatteras Venture Partners III, LP Warrants to Purchase Series B Preferred Stock 0.12 2018-10-22 4 M 0 1731 0.00 D Series B Preferred Stock 1731 0 I By Hatteras Venture Affiliates III, LP Series B Preferred Stock 2018-10-22 4 M 0 1731 0.12 A Common Stock 1731 94916 I By Hatteras Venture Affiliates III, LP Series B Preferred Stock 2018-10-22 4 S 0 42 5.00 D Common Stock 42 94874 I By Hatteras Venture Affiliates III, LP Warrants to Purchase Series C-1 Preferred Stock 0.12 2018-10-22 4 M 0 47458 0.00 D Series C-1 Preferred Stock 47458 0 I By Hatteras Venture Partners III, LP Series C-1 Preferred Stock 2018-10-22 4 M 0 47458 0.12 A Common Stock 47458 150459 I By Hatteras Venture Partners III, LP Series C-1 Preferred Stock 2018-10-22 4 S 0 1139 5.00 D Common Stock 1139 149320 I By Hatteras Venture Partners III, LP Warrants to Purchase Series C-1 Preferred Stock 0.12 2018-10-22 4 M 0 4309 0.00 D Series C-1 Preferred Stock 4309 0 I By Hatteras Venture Affiliates III, LP Series C-1 Preferred Stock 2018-10-22 4 M 0 4309 0.12 A Common Stock 4309 13662 I By Hatteras Venture Affiliates III, LP Series C-1 Preferred Stock 2018-10-22 4 S 0 104 5.00 D Common Stock 104 13558 I By Hatteras Venture Affiliates III, LP Warrants to Purchase Series C-1 Preferred Stock 0.12 2018-10-22 4 M 0 41414 0.00 D Series C-1 Preferred Stock 41414 0 I By Venture Capital Multiplier Fund Series C-1 Preferred Stock 2018-10-22 4 M 0 41414 0.12 A Common Stock 41414 41414 I By Venture Capital Multiplier Fund Series C-1 Preferred Stock 2018-10-22 4 S 0 994 5.00 D Common Stock 994 40420 I By Venture Capital Multiplier Fund Series 1 Preferred Stock 2018-10-22 4 C 0 52690 0.00 D Common Stock 52690 0 I By Hatteras Venture Partners I, LP Series 1 Preferred Stock 2018-10-22 4 C 0 42530 0.00 D Common Stock 42530 0 I By Hatteras Venture Partners III, LP Series 1 Preferred Stock 2018-10-22 4 C 0 3862 0.00 D Common Stock 3862 0 I By Hatteras Venture Affiliates III, LP Series 1 Preferred Stock 2018-10-22 4 C 0 4846 0.00 D Common Stock 4846 0 I By Catalysta Ventures, LLC Series AA Preferred Stock 2018-10-22 4 C 0 174699 0.00 D Common Stock 174699 0 I By Hatteras Venture Partners III, LP Series AA Preferred Stock 2018-10-22 4 C 0 13609 0.00 D Common Stock 13609 0 I By Hatteras Venture Affiliates III, LP Series B Preferred Stock 2018-10-22 4 C 0 1044764 0.00 D Common Stock 1044764 0 I By Hatteras Venture Partners III, LP Series B Preferred Stock 2018-10-22 4 C 0 94874 0.00 D Common Stock 94874 0 I By Hatteras Venture Affiliates III, LP Series C-1 Preferred Stock 2018-10-22 4 C 0 149320 0.00 D Common Stock 149320 0 I By Hatteras Venture Partners III, LP Series C-1 Preferred Stock 2018-10-22 4 C 0 13558 0.00 D Common Stock 13558 0 I By Hatteras Venture Affiliates III, LP Series C-1 Preferred Stock 2018-10-22 4 C 0 40420 0.00 D Common Stock 40420 0 I By Venture Capital Multiplier Fund Series D Preferred Stock 2018-10-22 4 C 0 272107 0.00 D Common Stock 272107 0 I By Hatteras Venture Partners III, LP Series D Preferred Stock 2018-10-22 4 C 0 24709 0.00 D Common Stock 24709 0 I By Hatteras Venture Affiliates III, LP Series D Preferred Stock 2018-10-22 4 C 0 226061 0.00 D Common Stock 226061 0 I By Venture Capital Multiplier Fund Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date. 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. Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering. The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering. /s/ Darren K. DeStefano, Attorney-in-Fact 2018-10-24