0001395064-22-000040.txt : 20220316 0001395064-22-000040.hdr.sgml : 20220316 20220316201018 ACCESSION NUMBER: 0001395064-22-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220314 FILED AS OF DATE: 20220316 DATE AS OF CHANGE: 20220316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TAKEDA PHARMACEUTICAL CO LTD CENTRAL INDEX KEY: 0001395064 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 22746374 BUSINESS ADDRESS: STREET 1: 1-1, NIHONBASHI-HONCHO 2-CHOME, CHUO-KU CITY: TOKYO STATE: M0 ZIP: 103-8668 BUSINESS PHONE: 81332782111 MAIL ADDRESS: STREET 1: 1-1, NIHONBASHI-HONCHO 2-CHOME, CHUO-KU CITY: TOKYO STATE: M0 ZIP: 103-8668 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 wf-form4_164747580130121.xml FORM 4 X0306 4 2022-03-14 0 0001783183 Phathom Pharmaceuticals, Inc. PHAT 0001395064 TAKEDA PHARMACEUTICAL CO LTD 1-1, NIHONBASHI-HONCHO 2-CHOME CHUO-KU, TOKYO M0 103-8668 JAPAN 0 0 1 0 Common Stock 2022-03-14 4 X 0 7359304 0 A 7459304 D Common Stock 2022-03-14 4 S 0 18 19 D 7459286 D Warrants 0.0 2022-03-14 4 X 0 7359304 0 D 2019-10-29 2029-05-07 Common Stock 7359304.0 0 D On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $2.52 in lieu of a fractional share. /s/ Amit Singh, Senior Vice President and Head of Treasury of Takeda Pharmaceutical Company Limited 2022-03-16