Phathom Pharmaceuticals, Inc. — Director's Dealing 2021

Nov 8, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Phathom Pharmaceuticals, Inc. (PHAT)
CIK: 0001783183
Period of Report: 2021-11-04

Reporting Person: TAKEDA PHARMACEUTICAL CO LTD (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-11-04	Common Stock	X	228696	—	Acquired	1100001	Direct
2021-11-04	Common Stock	S	1	$19	Disposed	1100000	Direct
2021-11-04	Common Stock	S	1000000	$20.85	Disposed	100000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-11-04	Warrants	$0.0	X	228696	Disposed	2029-05-07	Common Stock (228696.0)	Direct

Footnotes

F1: 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.