Phathom Pharmaceuticals, Inc. — Director's Dealing 2019

Oct 25, 2019

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Phathom Pharmaceuticals, Inc. (PHAT)
CIK: 0001783183
Period of Report: 2019-10-24

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

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	4877998	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Convertible Promissory Notes	$15.20	2020-05-07	Common Stock (1353640)		Direct

Footnotes

F1: 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.

F2: The outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes will automatically convert into shares of the Issuer's Common Stock immediately prior to the closing of the initial public offering.