Filing Details

Accession Number:
0001395064-21-000231
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-11-08 06:04:00
Reporting Period:
2021-11-04
Accepted Time:
2021-11-08 06:04:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1783183 Phathom Pharmaceuticals Inc. PHAT Pharmaceutical Preparations (2834) 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1395064 Takeda Pharmaceutical Co Ltd 1-1, Nihonbashi-Honcho 2-Chome
Chuo-Ku, Tokyo M0 103-8668
No No Yes 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 2021-11-04 228,696 $0.00 1,100,001 No 4 X Direct
Common Stock Disposition 2021-11-04 1 $19.00 1,100,000 No 4 S Direct
Common Stock Disposition 2021-11-04 1,000,000 $20.85 100,000 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 X Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants Disposition 2021-11-04 228,696 $0.00 228,696 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
7,359,304 2019-10-29 2029-05-07 No 4 X Direct
Footnotes
  1. On November 4, 2021, the Reporting Person exercised a Warrant to purchase 228,696 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 $8.45 in lieu of a fractional share.