0001193125-20-029856.txt : 20200210 0001193125-20-029856.hdr.sgml : 20200210 20200210163205 ACCESSION NUMBER: 0001193125-20-029856 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200210 DATE AS OF CHANGE: 20200210 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-91182 FILM NUMBER: 20592373 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Socks David A CENTRAL INDEX KEY: 0001378847 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: C/O CADENCE PHARMACEUTICALS, INC. STREET 2: 12481 HIGH BLUFF DRIVE, SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 SC 13G 1 d881623dsc13g.htm SC 13G SC 13G

 

 

United States

Securities and Exchange Commission

Washington, D.C. 20549

 

 

Schedule 13G

(Rule 13d-102)

Information to be Included in Statements Filed Pursuant

to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed

Pursuant to § 240.13d-2

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. )*

 

 

Phathom Pharmaceuticals, Inc.

(Name of Issuer)

Common Stock, $0.0001 par value per share

(Title of Class of Securities)

71722W107

(CUSIP Number)

December 31, 2019

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

CUSIP No. 71722W107   Schedule 13G   Page 2 of 5

 

 

  1   

Names of Reporting Persons

 

David Socks

  2  

Check the Appropriate Box if a Member of a Group

(a)  ☐        (b)  ☐

 

  3  

SEC Use Only

 

  4  

Citizenship or Place of Organization

 

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

    5    

Sole Voting Power

 

1,686,704

   6   

Shared Voting Power

 

0

   7   

Sole Dispositive Power

 

1,686,704

   8   

Shared Dispositive Power

 

0

  9  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

1,686,704

10  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

Not Applicable

11  

Percent of Class Represented by Amount in Row 9

 

6.9%

12  

Type of Reporting Person

 

IN

 

CUSIP No. 71722W107   Schedule 13G   Page 3 of 5

 

 

ITEM 1.

(a)     Name of Issuer:

Phathom Pharmaceuticals, Inc. (the “Issuer”)

 

  (b)

Address of Issuer’s Principal Executive Offices:

2150 E. Lake Cook Road, Suite 800

Buffalo Grove, Illinois

 

ITEM 2.

(a)     Name of Person Filing:

This statement is filed on behalf of David Socks (the “Reporting Person”).

 

  (b)

Address or Principal Business Office:

The business address of the Reporting Persons is 2150 E. Lake Cook Road, Suite 800, Buffalo Grove, Illinois.

 

  (c)

Citizenship of each Reporting Person is:

The Reporting Person is a citizen of the United States.

 

  (d)

Title of Class of Securities:

Common Stock, $0.0001 par value per share (“Common Stock”).

 

  (e)

CUSIP Number:

71722W107

 

ITEM 3.

Not applicable.

 

ITEM 4.

Ownership.

The ownership information below represents beneficial ownership of Common Stock of the Issuer as of the date hereof, based upon 24,526,537 shares of Common Stock outstanding as of November 23, 2019.

 

  (a)

Amount beneficially owned:

The Reporting Person may be deemed to beneficially own 1,686,704 shares of Common Stock held by the David A. Socks 2013 Revocable Trust.

 

CUSIP No. 71722W107   Schedule 13G   Page 4 of 5

 

 

  (b)

Percent of class: 6.9%

 

  (c)

Number of shares as to which the person has:

 

  (i)

Sole power to vote or to direct the vote: 1,686,704

  (ii)

Shared power to vote or direct the vote: 0

  (iii)

Sole power to dispose or to direct the disposition of: 1,686,704

  (iv)

Shared power to dispose or to direct the disposition of: 0

 

ITEM 5.

Ownership of Five Percent or Less of a Class.

Not applicable.

 

ITEM 6.

Ownership of More than Five Percent on Behalf of Another Person.

Not applicable.

 

ITEM 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

Not applicable.

 

ITEM 8.

Identification and Classification of Members of the Group.

Not applicable.

 

ITEM 9.

Notice of Dissolution of Group.

Not applicable.

 

ITEM 10.

Certification.

Not applicable.

 

CUSIP No. 71722W107   Schedule 13G   Page 5 of 5

 

 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: February 10, 2020    
      /s/ David Socks
      David Socks