0001144204-16-103223.txt : 20160517 0001144204-16-103223.hdr.sgml : 20160517 20160517212102 ACCESSION NUMBER: 0001144204-16-103223 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160517 FILED AS OF DATE: 20160517 DATE AS OF CHANGE: 20160517 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PHASERX, INC. CENTRAL INDEX KEY: 0001429386 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 204690620 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 410 WEST HARRISON STREET STREET 2: SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98119 BUSINESS PHONE: 206-805-6300 MAIL ADDRESS: STREET 1: 410 WEST HARRISON STREET STREET 2: SUITE 300 CITY: SEATTLE STATE: WA ZIP: 98119 FORMER COMPANY: FORMER CONFORMED NAME: PHASERX INC DATE OF NAME CHANGE: 20080311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schmidt John A Jr CENTRAL INDEX KEY: 0001445106 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37772 FILM NUMBER: 161659294 MAIL ADDRESS: STREET 1: 300 THIRD ST CITY: CAMBRIDGE STATE: X1 ZIP: 02142 3 1 v440305_form3.xml OWNERSHIP DOCUMENT X0206 3 2016-05-17 0 0001429386 PHASERX, INC. PZRX 0001445106 Schmidt John A Jr 410 WEST HARRISON STREET, SUITE 300 SEATTLE WA 98119 1 0 0 0 Employee Stock Option (right to buy) 2.34 2020-12-09 Common Stock 6570 D Employee Stock Option (right to buy) 0.11 2024-06-13 Common Stock 5410 D The option vested and became exercisable in 1/48th equal installments on each monthly anniversary of the date of grant. The grant date of the option was December 9, 2010. Reflects a 1-for-10.656096 reverse stock split effected on May 17, 2016. The option vests in 1/48th equal installments on each monthly anniversary of the date of grant, subject to continued service to the Issuer. The grant date of the option was June 13, 2014 and the first installment became exercisable on July 13, 2014. /s/ John A. Schmidt, Jr., M.D. 2016-05-17