0001209191-19-054024.txt : 20191024
0001209191-19-054024.hdr.sgml : 20191024
20191024215319
ACCESSION NUMBER: 0001209191-19-054024
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191024
FILED AS OF DATE: 20191024
DATE AS OF CHANGE: 20191024
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Heron Patrick J
CENTRAL INDEX KEY: 0001365617
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39094
FILM NUMBER: 191167367
MAIL ADDRESS:
STREET 1: 550 HAMILTON AVE., SUITE 100
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Topper James N
CENTRAL INDEX KEY: 0001341382
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39094
FILM NUMBER: 191167368
MAIL ADDRESS:
STREET 1: 550 HAMILTON AVENUE, SUITE 100
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FHMLS IX, L.P.
CENTRAL INDEX KEY: 0001782789
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39094
FILM NUMBER: 191167369
BUSINESS ADDRESS:
STREET 1: 601 UNION STREET
STREET 2: SUITE 3200
CITY: SEATTLE
STATE: WA
ZIP: 98101
BUSINESS PHONE: 206-254-7200
MAIL ADDRESS:
STREET 1: 601 UNION STREET
STREET 2: SUITE 3200
CITY: SEATTLE
STATE: WA
ZIP: 98101
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FHMLS IX, L.L.C.
CENTRAL INDEX KEY: 0001782791
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39094
FILM NUMBER: 191167370
BUSINESS ADDRESS:
STREET 1: 601 UNION STREET
STREET 2: SUITE 3200
CITY: SEATTLE
STATE: WA
ZIP: 98101
BUSINESS PHONE: 206-254-7200
MAIL ADDRESS:
STREET 1: 601 UNION STREET
STREET 2: SUITE 3200
CITY: SEATTLE
STATE: WA
ZIP: 98101
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Frazier Life Sciences IX, L.P.
CENTRAL INDEX KEY: 0001720320
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39094
FILM NUMBER: 191167371
BUSINESS ADDRESS:
STREET 1: 601 UNION STREET
STREET 2: SUITE 3200
CITY: SEATTLE
STATE: WA
ZIP: 98101
BUSINESS PHONE: 206-254-7200
MAIL ADDRESS:
STREET 1: 601 UNION STREET
STREET 2: SUITE 3200
CITY: SEATTLE
STATE: WA
ZIP: 98101
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Phathom Pharmaceuticals, Inc.
CENTRAL INDEX KEY: 0001783183
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 824151574
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2150 E. LAKE COOK ROAD, SUITE 800
CITY: BUFFALO GROVE
STATE: IL
ZIP: 60089
BUSINESS PHONE: 650-325-5156
MAIL ADDRESS:
STREET 1: 2150 E. LAKE COOK ROAD, SUITE 800
CITY: BUFFALO GROVE
STATE: IL
ZIP: 60089
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2019-10-24
0
0001783183
Phathom Pharmaceuticals, Inc.
PHAT
0001720320
Frazier Life Sciences IX, L.P.
601 UNION STREET
SUITE 3200
SEATTLE
WA
98101
0
0
1
0
0001782791
FHMLS IX, L.L.C.
601 UNION STREET
SUITE 3200
SEATTLE
WA
98101
0
0
1
0
0001782789
FHMLS IX, L.P.
601 UNION STREET
SUITE 3200
SEATTLE
WA
98101
0
0
1
0
0001341382
Topper James N
601 UNION STREET
SUITE 3200
SEATTLE
WA
98101
1
0
1
0
0001365617
Heron Patrick J
601 UNION STREET
SUITE 3200
SEATTLE
WA
98101
0
0
1
0
Common Stock
4877998
D
Convertible Promissory Notes
15.20
2020-05-07
Common Stock
1353640
D
The shares reported herein are held of record by Frazier Life Sciences IX, L.P. ("FLS IX"). The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.
The outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes will automatically convert into shares of the Issuer's Common Stock immediately prior to the closing of the initial public offering.
Frazier Life Sciences IX, L.P.
By: FHMLS IX, L.P., its general partner
By: FHMLS IX, L.L.C., its general partner
By: /s/ James Topper
Name: James Topper
Title: Managing Member
2019-10-24
Frazier Life Sciences IX, L.P. By: FHMLS IX, L.P., its general partner By: FHMLS IX, L.L.C., its general partner By: /s/ James Topper Name: James Topper Title: Managing Member
2019-10-24
FHMLS IX, L.L.C. By: /s/ James Topper Name: James Topper Title: Managing Member
2019-10-24
/s/ James Topper
2019-10-24
/s/ Patrick Heron
2019-10-24