PHATHOM PHARMACEUTICALS, INC.
8.60%
5,985,327
1783183
71722W107
Aug 17, 2025
Aug 20, 2025, 05:18 PM
Reporting Persons (23)
This is a joint filing. The reported shares may overlap between reporting persons and should not be summed.
| Name | Type | % of Class | Aggregate | Sole Voting | Shared Voting |
|---|---|---|---|---|---|
| James N. Topper | Individual | 8.60% | 5,985,327 | 98,508 | 5,886,819 |
| Patrick J. Heron | Individual | 8.40% | 5,901,756 | 14,937 | 5,886,819 |
| Frazier Life Sciences IX, L.P. | Partnership | 8.20% | 5,827,415 | 0 | 5,827,415 |
| FHMLS IX, L.P. | Partnership | 8.20% | 5,827,415 | 0 | 5,827,415 |
| FHMLS IX, L.L.C. | Other | 8.20% | 5,827,416 | 0 | 5,827,416 |
| Frazier Life Sciences Public Fund, L.P. | Partnership | 6.00% | 4,234,991 | 0 | 4,234,991 |
| FHMLSP, L.P. | Partnership | 6.00% | 4,234,991 | 0 | 4,234,991 |
| FHMLSP, L.L.C. | Other | 6.00% | 4,234,991 | 0 | 4,234,991 |
| Frazier Life Sciences Public Overage Fund, L.P. | Partnership | 1.60% | 1,088,365 | 0 | 1,088,365 |
| FHMLSP Overage, L.L.C. | Other | 1.60% | 1,088,365 | 0 | 1,088,365 |
| FHMLSP Overage, L.P. | Partnership | 1.60% | 1,088,365 | 0 | 1,088,365 |
| FHMLS XI, L.L.C. | Other | 1.40% | 980,286 | 0 | 980,286 |
| Frazier Life Sciences XI, L.P. | Partnership | 1.40% | 980,286 | 0 | 980,286 |
| FHMLS XI, L.P. | Partnership | 1.40% | 980,286 | 0 | 980,286 |
| FHMLS XII, L.L.C. | Other | 0.40% | 276,029 | 0 | 276,029 |
| Frazier Life Sciences XII, L.P. | Partnership | 0.40% | 276,029 | 0 | 276,029 |
| FHMLS XII, L.P. | Partnership | 0.40% | 276,029 | 0 | 276,029 |
| FHMLS X, L.L.C. | Other | 0.10% | 59,403 | 0 | 59,403 |
| FHMLS X, L.P. | Partnership | 0.10% | 59,403 | 0 | 59,403 |
| Frazier Life Sciences X, L.P. | Partnership | 0.10% | 59,403 | 0 | 59,403 |
| Albert Cha | Individual | 0.00% | 0 | 0 | 0 |
| James Brush | Individual | 0.00% | 0 | 0 | 0 |
| Daniel Estes | Individual | 0.00% | 0 | 0 | 0 |
Disclosure Items (3)
Common Stock, $0.0001 par value per share
PHATHOM PHARMACEUTICALS, INC.
100 CAMPUS DRIVE,, FLORHAM PARK, NJ, 07932
The information contained in Rows 7, 8, 9, 10, 11, and 13 of each Reporting Person's cover page to this Schedule 13D (including the footnotes thereto) is incorporated by reference into this Item 5. FLSPF directly holds 4,234,991 shares of the Issuer's Common Stock (the "FLSPF Shares"). FHMLSP, L.P. is the general partner of FLSPF and the general partner of FHMLSP, L.P. is FHMLSP, L.L.C., which is managed by an investment committee of four that acts by majority vote. Accordingly, no members of such committee are attributed beneficial ownership of the securities directly held by FLSPF, and this Schedule 13D corrects any previous attribution to, and overstatement of beneficial ownership by, such members as reflected in any prior Statements. FLSPOF directly holds 1,088,365 shares of this Issuer's Common Stock (the "FLSPOF Shares"). FHMLSP Overage, L.P. is the general partner of FLSPOF and the general partner of FHMLSP Overage, L.P. is FHMLSP Overage, L.L.C., which is managed by an investment committee of four that acts by majority vote. Accordingly, no members of such committee are attributed beneficial ownership of the securities directly held by FLSPOF, and this Schedule 13D corrects any previous attribution to, and overstatement of beneficial ownership by, such members as reflected in any prior Statements. FLS IX directly holds 5,827,415 shares of the Issuer's Common Stock (the "FLS IX Shares"). FHMLS IX, L.P. is the general partner of FLS IX and FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Heron and Topper are the members of FHMLS IX, L.L.C. and therefore share voting and investment power over the FLS IX Shares. FHMLS IX, L.L.C. directly holds 1 share of the Issuer's Common Stock (the "FHMLS IX, L.L.C. Share"). Heron and Topper are the members of FHMLS IX, L.L.C. and therefore share voting and investment power over the FHMLS IX, L.L.C. Share. FLS X directly holds 59,403 shares of the Issuer's Common Stock (the "FLS X Shares"). FHMLS X, L.P. is the general partner of FLS X and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. Heron and Topper are the members of FHMLS X, L.L.C. and therefore share voting and investment power over the FLS X Shares. FLS XI directly holds the FLS XI Shares. FHMLS XI, L.P. is the general partner of FLS XI and the general partner of FHMLS XI, L.P. is FHMLS XI, L.L.C., which is managed by an investment committee of three that acts by majority vote. Accordingly, no members of such committee are attributed beneficial ownership of the securities directly held by FLS XI, and this Schedule 13D corrects any previous attribution to, and overstatement of beneficial ownership by, such members as reflected in any prior Statements. FLS XII directly holds FLS XI holds 980,286 shares of this Issuer's Common Stock (the "FLS XI Shares"). FHMLS XII, L.P. is the general partner of FLS XII and the general partner of FHMLS XII, L.P. is FHMLS XII, L.L.C., which is managed by an investment committee of three that acts by majority vote. Accordingly, no members of such committee are attributed beneficial ownership of the securities directly held by FLS XII, and this Schedule 13D corrects any previous attribution to, and overstatement of beneficial ownership by, such members as reflected in any prior Statements. The above referenced beneficial ownership and amounts reflected on the cover pages hereto do not include certain warrants and prefunded warrants to acquire shares of Common Stock (the "Warrants"), the exercise of which is subject to certain beneficial ownership limitations. In this regard, (i) FLSPF holds Warrants to purchase 2,004,956 shares of Common Stock, (ii) FLSPOF holds Warrants to purchase 591,443 shares of Common Stock, and (iii) FLS XII holds Warrants to purchase 12,523 shares of Common Stock, each of which cannot be exercised, if, upon giving effect to such exercise, the aggregate number of shares of Common Stock beneficially owned by the holder of such Warrant (together with its affiliates or any other persons acting as a group together with such holder) would exceed 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to such exercise. Except as specifically stated herein, the filing of this Schedule 13D shall not be construed as an admission that any Reporting Person or any of the foregoing is, for the purposes of Section 13(d) and/or Section 13(g) of the Act or otherwise, the beneficial owner of any securities covered by this Schedule 13D or a member of a "group" with any other person.
EX-99.1 Joint Filing Agreement, dated as of May 13, 2025, incorporated by reference into this Schedule 13D.