Blackstone Inc. — Director's Dealing 2020

Oct 2, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: ESSA Pharma Inc. (EPIX)
CIK: 0001633932
Period of Report: 2020-10-01

Reporting Person: Clarus Lifesciences III, L.P. (10% Owner)
Reporting Person: Clarus Ventures III GP, L.P. (10% Owner)
Reporting Person: Blackstone Clarus III L.L.C. (10% Owner)
Reporting Person: Blackstone Holdings II L.P. (10% Owner)
Reporting Person: Blackstone Holdings I/II GP L.L.C. (10% Owner)
Reporting Person: Blackstone Group Inc (10% Owner)
Reporting Person: Blackstone Group Management L.L.C. (10% Owner)
Reporting Person: SCHWARZMAN STEPHEN A (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Shares	3573053	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Warrants	$3.30	2023-01-14	Common Shares (106061)		Indirect
Options	$3.23	2029-10-04	Common Shares (25000)		Indirect
Options	$4.67	2029-10-30	Common Shares (25000)		Indirect

Footnotes

F1: Reflects securities held directly by Clarus Lifesciences III, L.P. Clarus Ventures III GP, L.P. is the general partner of Clarus Lifesciences III, L.P. Blackstone Clarus III L.L.C. is the general partner of Clarus Ventures III GP, L.P. The sole member of Blackstone Clarus III L.L.C. is Blackstone Holdings II L.P. The general partner of Blackstone Holdings II L.P. is Blackstone Holdings I/II GP L.L.C. The sole member of Blackstone Holdings I/II GP L.L.C. is The Blackstone Group Inc. The sole holder of the Class C common stock of The Blackstone Group Inc. is Blackstone Group Management L.L.C. Blackstone Group Management L.L.C. is wholly-owned by Blackstone's senior managing directors and controlled by its founder, Stephen A. Schwarzman.

F2: These warrants are currently exercisable.

F3: Reflects securities directly held by Ari Brettman, a director of the Issuer and an officer of The Blackstone Group Inc. ("Blackstone") and/or one of its affiliates. Pursuant to arrangements between Mr. Brettman and Blackstone, Mr. Brettman is required to transfer to Blackstone any and all compensation received in connection with his directorship for any company Blackstone invests in or advises.

F4: Information with respect to each of the Reporting Persons is given solely by such Reporting Person, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person.

F5: Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.