Phathom Pharmaceuticals, Inc. — Director's Dealing 2020

Jun 16, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Phathom Pharmaceuticals, Inc. (PHAT)
CIK: 0001783183
Period of Report: 2020-06-12

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-06-12	Common Stock	J	1456854	$0.00	Disposed	5827415	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1	Indirect
Common Stock	12596	Indirect
Common Stock	3912	Indirect
Common Stock	14937	Indirect

Footnotes

F1: Represents a pro rata distribution in-kind by Frazier Life Sciences IX, L.P. ("FLS IX") to its limited partners for no consideration.

F2: Represents shares held of record by 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.

F3: Reflects shares of Common Stock received in the distribution in-kind described herein.

F4: Represents shares held of record by 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. These shares were previously held through FLS IX.

F5: Represents shares held directly by Dr. Topper. These shares were previously held through FLS IX.

F6: Represents shares held of record by Topper Group III LLC. Dr. Topper is a manager of Topper Group III LLC and has voting and investment power of the securities held by Topper Group III LLC. These shares were previously held through FLS IX.

F7: Represents shares held by The Heron Living Trust 11/30/2004. Mr. Heron is the co-trustee of The Heron Living Trust 11/30/2004 and has voting and investment power of the securities held by The Heron Living Trust 11/30/2004. These shares were previously held through FLS IX.