0001209191-21-013373.txt : 20210223 0001209191-21-013373.hdr.sgml : 20210223 20210223181436 ACCESSION NUMBER: 0001209191-21-013373 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210219 FILED AS OF DATE: 20210223 DATE AS OF CHANGE: 20210223 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Socks David A CENTRAL INDEX KEY: 0001378847 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 21667271 MAIL ADDRESS: STREET 1: C/O CADENCE PHARMACEUTICALS, INC. STREET 2: 12481 HIGH BLUFF DRIVE, SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 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 X0306 4 2021-02-19 0 0001783183 Phathom Pharmaceuticals, Inc. PHAT 0001378847 Socks David A C/O PHATHOM PHARMACEUTICALS, INC. 100 CAMPUS DRIVE, SUITE 102 FLORHAM PAK NJ 07932 1 0 0 0 Common Stock 2021-02-19 4 S 0 5200 46.0207 D 1500745 I David A. Socks 2013 Revocable Trust Common Stock 2021-02-19 4 S 0 21360 47.0834 D 1479385 I David A. Socks 2013 Revocable Trust Common Stock 2021-02-19 4 S 0 18316 47.61 D 1461069 I David A. Socks 2013 Revocable Trust Common Stock 2021-02-22 4 S 0 11482 45.2652 D 1449587 I David A. Socks 2013 Revocable Trust Common Stock 2021-02-22 4 S 0 7241 46.025 D 1442346 I David A. Socks 2013 Revocable Trust Common Stock 2021-02-22 4 S 0 1417 46.9901 D 1440929 I David A. Socks 2013 Revocable Trust Common Stock 2021-02-23 4 S 0 1019 42.5018 D 1439910 I David A. Socks 2013 Revocable Trust Common Stock 2021-02-23 4 S 0 1881 43.3461 D 1438029 I David A. Socks 2013 Revocable Trust Common Stock 2021-02-23 4 S 0 2084 44.6967 D 1435945 I David A. Socks 2013 Revocable Trust Common Stock 103.49 I By 401(k) Plan All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.26 to $46.24. The reporting person undertakes to provide Phathom Pharmaceuticals, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.26 to $47.25. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.26 to $48.22. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.76 to $45.755. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.80 to $46.64. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $46.81 to $47.35. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.94. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.90. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.05 to $45.00. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ Larry Miller, Attorney-in-Fact for David A. Socks 2021-02-23