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