0001209191-19-054525.txt : 20191030 0001209191-19-054525.hdr.sgml : 20191030 20191030170417 ACCESSION NUMBER: 0001209191-19-054525 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191029 FILED AS OF DATE: 20191030 DATE AS OF CHANGE: 20191030 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 191181008 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: Topper James N CENTRAL INDEX KEY: 0001341382 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 191181009 MAIL ADDRESS: STREET 1: 550 HAMILTON AVENUE, SUITE 100 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Heron Patrick J CENTRAL INDEX KEY: 0001365617 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 191181010 MAIL ADDRESS: STREET 1: 550 HAMILTON AVE., SUITE 100 CITY: PALO ALTO STATE: CA ZIP: 94301 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 191181011 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.P. CENTRAL INDEX KEY: 0001782789 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 191181012 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-10-29 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 0001341382 Topper James N C/O PHATHOM PHARMACEUTICALS, INC. 2150 E. LAKE COOK ROAD, SUITE 800 BUFFALO GROVE IL 60089 1 0 1 0 0001365617 Heron Patrick J 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 Common Stock 2019-10-29 4 C 0 1353640 15.20 A 6231638 D Common Stock 2019-10-29 4 P 0 1052631 19.00 A 7284269 D Convertible Promissory Notes 2019-10-29 4 C 0 20575342.48 D 2020-05-07 Common Stock 1353640 0 D Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share. 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. 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 2019-10-30 /s/ James Topper 2019-10-30 /s/ Patrick Heron 2019-10-30 FHMLS IX, L.L.C. By: /s/ James Topper Name: James Topper Title: Managing Member 2019-10-30 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 2019-10-30