Form 4 for PHAT Phathom Pharmaceuticals, Inc.
Accepted 2022-03-16 00:00:00 ET · period of report 2022-03-14 · accession 0001395064-22-000040 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-03-16 | 2022-03-14 | PHAT | TAKEDA PHARMACEUTICAL CO LTD | 10% | X - OptEx | $0.00 | +7.36M | 7.46M | +7,359% | $0 |
| D | 2022-03-16 | 2022-03-14 | PHAT | TAKEDA PHARMACEUTICAL CO LTD | 10% | S - Sale+OE | $19.00 | -18 | 7.46M | -0.0% | -$342 |
| D | 2022-03-16 | 2022-03-14 | PHAT | TAKEDA PHARMACEUTICAL CO LTD | 10% | X - OptEx | $0.00 | -7.36M | 0 | -100% | $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 | 2022-03-14 | X | A | 7,359,304 | $0.00 | 7,459,304 | D | — | — | (F1) On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 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 $2.52 in lieu of a fractional share. |
| 2 | Common | Common Stock | 2022-03-14 | S | D | 18 | $19.00 | 7,459,286 | D | — | — | (F1) On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 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 $2.52 in lieu of a fractional share. |
| 3 | Derivative | Warrants | 2022-03-14 | X | D | 7,359,304 | $0.00 | 0 | D | $0.00 · 2019-10-29 to 2029-05-07 | 7,359,304 Common Stock | (F1) On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 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 $2.52 in lieu of a fractional share. |