Filing Details
- Accession Number:
- 0001209191-18-056052
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-24 16:20:36
- Reporting Period:
- 2018-10-22
- Accepted Time:
- 2018-10-24 16:20:36
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1169245 | Phasebio Pharmaceuticals Inc | PHAS | Pharmaceutical Preparations (2834) | 030375697 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1388680 | Linda Tufts | C/O Phasebio Pharmaceuticals, Inc. 1 Great Valley Parkway, Suite 30 Malvern PA 19355 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-10-22 | 577,486 | $0.00 | 577,486 | No | 4 | C | Indirect | By Fletcher Spaght Ventures II, LP |
| Common Stock | Acquisiton | 2018-10-22 | 12,682 | $5.00 | 590,168 | No | 4 | P | Indirect | By Fletcher Spaght Ventures II, LP |
| Common Stock | Acquisiton | 2018-10-22 | 58,152 | $0.00 | 58,152 | No | 4 | C | Indirect | By FSV II, LP |
| Common Stock | Acquisiton | 2018-10-22 | 1,277 | $5.00 | 59,429 | No | 4 | P | Indirect | By FSV II, LP |
| Common Stock | Acquisiton | 2018-10-22 | 275,055 | $0.00 | 275,055 | No | 4 | C | Indirect | By FSV II-B, LP |
| Common Stock | Acquisiton | 2018-10-22 | 6,041 | $5.00 | 281,096 | No | 4 | P | Indirect | By FSV II-B, LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Fletcher Spaght Ventures II, LP |
| No | 4 | P | Indirect | By Fletcher Spaght Ventures II, LP |
| No | 4 | C | Indirect | By FSV II, LP |
| No | 4 | P | Indirect | By FSV II, LP |
| No | 4 | C | Indirect | By FSV II-B, LP |
| No | 4 | P | Indirect | By FSV II-B, LP |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Series B Preferred Stock | Warrants to Purchase Series B Preferred Stock | Disposition | 2018-10-22 | 7,053 | $0.00 | 7,053 | $0.12 |
| Common Stock | Series B Preferred Stock | Acquisiton | 2018-10-22 | 7,053 | $0.12 | 7,053 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 170 | $5.00 | 170 | $0.00 |
| Series B Preferred Stock | Warrants to Purchase Series B Preferred Stock | Disposition | 2018-10-22 | 710 | $0.00 | 710 | $0.12 |
| Common Stock | Series B Preferred Stock | Acquisiton | 2018-10-22 | 710 | $0.12 | 710 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 18 | $5.00 | 18 | $0.00 |
| Series B Preferred Stock | Warrants to Purchase Series B Preferred Stock | Disposition | 2018-10-22 | 3,359 | $0.00 | 3,359 | $0.12 |
| Common Stock | Series B Preferred Stock | Acquisiton | 2018-10-22 | 3,359 | $0.12 | 3,359 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 81 | $5.00 | 81 | $0.00 |
| Series C-1 Preferred Stock | Warrants to Purchase Series C-1 Preferred Stock | Disposition | 2018-10-22 | 9,847 | $0.00 | 9,847 | $0.12 |
| Common Stock | Series C-1 Preferred Stock | Acquisiton | 2018-10-22 | 9,847 | $0.12 | 9,847 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 237 | $5.00 | 237 | $0.00 |
| Series C-1 Preferred Stock | Warrants to Purchase Series C-1 Preferred Stock | Disposition | 2018-10-22 | 991 | $0.00 | 991 | $0.12 |
| Common Stock | Series C-1 Preferred Stock | Acquisiton | 2018-10-22 | 991 | $0.12 | 991 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 24 | $5.00 | 24 | $0.00 |
| Series C-1 Preferred Stock | Warrants to Purchase Series C-1 Preferred Stock | Disposition | 2018-10-22 | 4,690 | $0.00 | 4,690 | $0.12 |
| Common Stock | Series C-1 Preferred Stock | Acquisiton | 2018-10-22 | 4,690 | $0.12 | 4,690 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 113 | $5.00 | 113 | $0.00 |
| Common Stock | Series AA Preferred Stock | Disposition | 2018-10-22 | 119,408 | $0.00 | 119,408 | $0.00 |
| Common Stock | Series AA Preferred Stock | Disposition | 2018-10-22 | 12,025 | $0.00 | 12,025 | $0.00 |
| Common Stock | Series AA Preferred Stock | Disposition | 2018-10-22 | 56,874 | $0.00 | 56,874 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 347,250 | $0.00 | 347,250 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 34,968 | $0.00 | 34,968 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 165,395 | $0.00 | 165,395 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 47,140 | $0.00 | 47,140 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 4,746 | $0.00 | 4,746 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 22,452 | $0.00 | 22,452 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2018-10-22 | 63,688 | $0.00 | 63,688 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2018-10-22 | 6,413 | $0.00 | 6,413 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2018-10-22 | 30,334 | $0.00 | 30,334 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Indirect | ||
| 347,420 | No | 4 | M | Indirect | ||
| 347,250 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 34,986 | No | 4 | M | Indirect | ||
| 34,968 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 165,476 | No | 4 | M | Indirect | ||
| 165,395 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 47,377 | No | 4 | M | Indirect | ||
| 47,140 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 4,770 | No | 4 | M | Indirect | ||
| 4,746 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 22,565 | No | 4 | M | Indirect | ||
| 22,452 | No | 4 | S | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date.
- FSA II, LLC is the general partner of the general partner of Fletcher Spaght Ventures II, LP and FSV II-B, LP and the manager of the general partner of FSV II, LP. The reporting person is a managing member of FSA II, LLC and disclaims beneficial ownership of such securities except to the extent of her pecuniary interest therein.
- Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering.
- The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering.
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