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Phathom Pharmaceuticals, Inc. — Director's Dealing 2021
Mar 24, 2021
32407_dirs_2021-03-23_bf70a94f-f8eb-441f-9dc0-496298b3f89f.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Phathom Pharmaceuticals, Inc. (PHAT)
CIK: 0001783183
Period of Report: 2021-03-22
Reporting Person: Curran Terrie (Director, President and Chief Executive)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-03-22 | Common Stock | M | 11513 | $6.95 | Acquired | 11513 | Direct |
| 2021-03-22 | Common Stock | S | 10373 | $43.2368 | Disposed | 1140 | Direct |
| 2021-03-22 | Common Stock | S | 1140 | $44.0838 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-03-22 | Stock Option (Right to Buy) | $6.95 | M | 11513 | Disposed | 2029-08-28 | Common Stock (11513) | Direct |
Footnotes
F1: Represents shares of common stock received upon exercising a stock option.
F2: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.82 to $43.81. The reporting person undertakes to provide Phathom Pharmaceuticals, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.82 to $44.71. The reporting person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
F5: The stock option was granted on August 29, 2019 and vested with respect to 25% of the shares of common stock on August 29, 2020, and thereafter vests in equal monthly installments over the following three years.