Form 4 for PHAT Phathom Pharmaceuticals, Inc.
Accepted 2021-11-08 00:00:00 ET · period of report 2021-11-04 · accession 0001395064-21-000231 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-11-08 | 2021-11-04 | PHAT | TAKEDA PHARMACEUTICAL CO LTD | 10% | S - Sale+OE | $20.85 | -1.00M | 100.0K | -91% | -$20.85M |
| D | 2021-11-08 | 2021-11-04 | PHAT | TAKEDA PHARMACEUTICAL CO LTD | 10% | X - OptEx | $0.00 | +228.7K | 1.10M | +26% | $0 |
| D | 2021-11-08 | 2021-11-04 | PHAT | TAKEDA PHARMACEUTICAL CO LTD | 10% | X - OptEx | $0.00 | -228.7K | 7.36M | -3% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-04 | S | D | 1 | $19.00 | 1,100,000 | D | — | — | (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. |
| 2 | Common | Common Stock | 2021-11-04 | X | A | 228,696 | $0.00 | 1,100,001 | D | — | — | (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. |
| 3 | Common | Common Stock | 2021-11-04 | S | D | 1,000,000 | $20.85 | 100,000 | D | — | — | |
| 4 | Derivative | Warrants | 2021-11-04 | X | D | 228,696 | $0.00 | 7,359,304 | D | $0.00 · 2019-10-29 to 2029-05-07 | 228,696 Common Stock | (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. |