0001144204-16-103220.txt : 20160517 0001144204-16-103220.hdr.sgml : 20160517 20160517212003 ACCESSION NUMBER: 0001144204-16-103220 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160517 FILED AS OF DATE: 20160517 DATE AS OF CHANGE: 20160517 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PHASERX, INC. CENTRAL INDEX KEY: 0001429386 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 204690620 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 410 WEST HARRISON STREET STREET 2: SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98119 BUSINESS PHONE: 206-805-6300 MAIL ADDRESS: STREET 1: 410 WEST HARRISON STREET STREET 2: SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98119 FORMER COMPANY: FORMER CONFORMED NAME: PHASERX INC DATE OF NAME CHANGE: 20080311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OVERELL ROBERT W CENTRAL INDEX KEY: 0001185830 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37772 FILM NUMBER: 161659291 MAIL ADDRESS: STREET 1: 410 WEST HARRISON STREET STREET 2: SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98119 FORMER NAME: FORMER CONFORMED NAME: OVERELL ROBERT DATE OF NAME CHANGE: 20020904 3 1 v440273_form3.xml OWNERSHIP DOCUMENT X0206 3 2016-05-17 0 0001429386 PHASERX, INC. PZRX 0001185830 OVERELL ROBERT W 410 WEST HARRISON STREET, SUITE 300 SEATTLE WA 98119 1 1 0 0 President and CEO Common Stock 99237 I By Foundation BioVentures LLC Employee Stock Option (right to buy) 2.34 2019-09-18 Common Stock 64518 D Employee Stock Option (right to buy) 0.11 2024-06-13 Common Stock 48423 D Reflects a 1-for-10.656096 reverse stock split effected on May 17, 2016. Dr. Overell is the sole member of Foundation BioVentures LLC and in such capacity holds voting and dispositive power over the shares and is deemed to beneficially own shares held by Foundation BioVentures LLC. The option vested and became exercisable in 1/48th equal installments on each monthly anniversary of August 17, 2009. The grant date of the option was September 18, 2009. The option vests in 1/48th equal installments on each monthly anniversary of the date of grant, subject to continued service to the Issuer. The grant date of the option was June 13, 2014 and the first installment became exercisable on July 13, 2014. /s/ Robert W. Overell, Ph.D. 2016-05-17