Phathom Pharmaceuticals, Inc. — Director's Dealing 2019

Oct 30, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Phathom Pharmaceuticals, Inc. (PHAT)
CIK: 0001783183
Period of Report: 2019-10-29

Reporting Person: Frazier Life Sciences IX, L.P. (10% Owner)
Reporting Person: Topper James N (Director, 10% Owner)
Reporting Person: Heron Patrick J (10% Owner)
Reporting Person: FHMLS IX, L.L.C. (10% Owner)
Reporting Person: FHMLS IX, L.P. (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-10-29	Common Stock	C	1353640	$15.20	Acquired	6231638	Direct
2019-10-29	Common Stock	P	1052631	$19.00	Acquired	7284269	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-10-29	Convertible Promissory Notes	$	C		Disposed	2020-05-07	Common Stock (1353640)	Direct

Footnotes

F1: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share.

F2: The shares reported herein are held of record by Frazier Life Sciences IX, L.P. ("FLS IX"). The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.