0001209191-23-033025.txt : 20230530 0001209191-23-033025.hdr.sgml : 20230530 20230530190335 ACCESSION NUMBER: 0001209191-23-033025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230525 FILED AS OF DATE: 20230530 DATE AS OF CHANGE: 20230530 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: 23978414 MAIL ADDRESS: STREET 1: 550 HAMILTON AVENUE, SUITE 100 CITY: PALO ALTO STATE: CA ZIP: 94301 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: 100 CAMPUS DRIVE, STREET 2: SUITE 102 CITY: FLORHAM PARK STATE: NJ ZIP: 07932 BUSINESS PHONE: (877) 742-8466 MAIL ADDRESS: STREET 1: 100 CAMPUS DRIVE, STREET 2: SUITE 102 CITY: FLORHAM PARK STATE: NJ ZIP: 07932 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-05-25 0 0001783183 Phathom Pharmaceuticals, Inc. PHAT 0001341382 Topper James N C/O PHATHOM PHARMACEUTICALS, INC. 100 CAMPUS DRIVE, SUITE 102 FLORHAM PARK, NJ 07932 1 0 1 0 0 Common Stock 2023-05-25 4 A 0 9000 0.00 A 21596 D Common Stock 5827415 I By Frazier Life Sciences IX, L.P. Common Stock 1 I See footnote Common Stock 3912 I See footnote Stock Option (Right to Buy) 11.72 2023-05-25 4 A 0 15000 0.00 A 2033-05-24 Common Stock 15000 15000 D The Restricted Stock Units ("RSUs") were granted on May 25, 2023, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer. 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. Represents shares held of record by 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. Represents shares held of record by Topper Group III LLC. Dr. Topper is a manager of Topper Group III LLC and has voting and investment power of the securities held by Topper Group III LLC. The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing in service on the Board through such vesting date. /s/ Larry Miller, Attorney-in-Fact for James Topper 2023-05-30