Filing Details
- Accession Number:
- 0001209191-18-056051
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-24 16:19:45
- Reporting Period:
- 2018-10-22
- Accepted Time:
- 2018-10-24 16:19:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1169245 | Phasebio Pharmaceuticals Inc | PHAS | Pharmaceutical Preparations (2834) | 030375697 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1592380 | Clay Thorp | C/O Phasebio Pharmaceuticals, Inc. 1 Great Valley Parkway, Suite 30 Malvern PA 19355 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-10-22 | 52,690 | $0.00 | 52,690 | No | 4 | C | Indirect | By Hatteras Venture Partners I, LP |
| Common Stock | Acquisiton | 2018-10-22 | 1,683,420 | $0.00 | 1,683,420 | No | 4 | C | Indirect | By Hatteras Venture Partners III, LP |
| Common Stock | Acquisiton | 2018-10-22 | 137,513 | $5.00 | 1,820,933 | No | 4 | P | Indirect | By Hatteras Venture Partners III, LP |
| Common Stock | Acquisiton | 2018-10-22 | 150,612 | $0.00 | 150,612 | No | 4 | C | Indirect | By Hatteras Venture Affiliates III, LP |
| Common Stock | Acquisiton | 2018-10-22 | 12,487 | $5.00 | 163,099 | No | 4 | P | Indirect | By Hatteras Venture Affiliates III, LP |
| Common Stock | Acquisiton | 2018-10-22 | 4,846 | $0.00 | 4,846 | No | 4 | C | Indirect | By Catalysta Ventures, LLC |
| Common Stock | Acquisiton | 2018-10-22 | 266,481 | $0.00 | 266,481 | No | 4 | C | Indirect | By Venture Capital Multiplier Fund |
| Common Stock | Acquisiton | 2018-10-22 | 150,000 | $5.00 | 416,481 | No | 4 | P | Indirect | By Venture Capital Multiplier Fund |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Hatteras Venture Partners I, LP |
| No | 4 | C | Indirect | By Hatteras Venture Partners III, LP |
| No | 4 | P | Indirect | By Hatteras Venture Partners III, LP |
| No | 4 | C | Indirect | By Hatteras Venture Affiliates III, LP |
| No | 4 | P | Indirect | By Hatteras Venture Affiliates III, LP |
| No | 4 | C | Indirect | By Catalysta Ventures, LLC |
| No | 4 | C | Indirect | By Venture Capital Multiplier Fund |
| No | 4 | P | Indirect | By Venture Capital Multiplier Fund |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Series B Preferred Stock | Warrants to Purchase Series B Preferred Stock | Disposition | 2018-10-22 | 19,061 | $0.00 | 19,061 | $0.12 |
| Common Stock | Series B Preferred Stock | Acquisiton | 2018-10-22 | 19,061 | $0.12 | 19,061 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 458 | $5.00 | 458 | $0.00 |
| Series B Preferred Stock | Warrants to Purchase Series B Preferred Stock | Disposition | 2018-10-22 | 1,731 | $0.00 | 1,731 | $0.12 |
| Common Stock | Series B Preferred Stock | Acquisiton | 2018-10-22 | 1,731 | $0.12 | 1,731 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 42 | $5.00 | 42 | $0.00 |
| Series C-1 Preferred Stock | Warrants to Purchase Series C-1 Preferred Stock | Disposition | 2018-10-22 | 47,458 | $0.00 | 47,458 | $0.12 |
| Common Stock | Series C-1 Preferred Stock | Acquisiton | 2018-10-22 | 47,458 | $0.12 | 47,458 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 1,139 | $5.00 | 1,139 | $0.00 |
| Series C-1 Preferred Stock | Warrants to Purchase Series C-1 Preferred Stock | Disposition | 2018-10-22 | 4,309 | $0.00 | 4,309 | $0.12 |
| Common Stock | Series C-1 Preferred Stock | Acquisiton | 2018-10-22 | 4,309 | $0.12 | 4,309 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 104 | $5.00 | 104 | $0.00 |
| Series C-1 Preferred Stock | Warrants to Purchase Series C-1 Preferred Stock | Disposition | 2018-10-22 | 41,414 | $0.00 | 41,414 | $0.12 |
| Common Stock | Series C-1 Preferred Stock | Acquisiton | 2018-10-22 | 41,414 | $0.12 | 41,414 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 994 | $5.00 | 994 | $0.00 |
| Common Stock | Series 1 Preferred Stock | Disposition | 2018-10-22 | 52,690 | $0.00 | 52,690 | $0.00 |
| Common Stock | Series 1 Preferred Stock | Disposition | 2018-10-22 | 42,530 | $0.00 | 42,530 | $0.00 |
| Common Stock | Series 1 Preferred Stock | Disposition | 2018-10-22 | 3,862 | $0.00 | 3,862 | $0.00 |
| Common Stock | Series 1 Preferred Stock | Disposition | 2018-10-22 | 4,846 | $0.00 | 4,846 | $0.00 |
| Common Stock | Series AA Preferred Stock | Disposition | 2018-10-22 | 174,699 | $0.00 | 174,699 | $0.00 |
| Common Stock | Series AA Preferred Stock | Disposition | 2018-10-22 | 13,609 | $0.00 | 13,609 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 1,044,764 | $0.00 | 1,044,764 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2018-10-22 | 94,874 | $0.00 | 94,874 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 149,320 | $0.00 | 149,320 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 13,558 | $0.00 | 13,558 | $0.00 |
| Common Stock | Series C-1 Preferred Stock | Disposition | 2018-10-22 | 40,420 | $0.00 | 40,420 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2018-10-22 | 272,107 | $0.00 | 272,107 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2018-10-22 | 24,709 | $0.00 | 24,709 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2018-10-22 | 226,061 | $0.00 | 226,061 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Indirect | ||
| 1,045,222 | No | 4 | M | Indirect | ||
| 1,044,764 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 94,916 | No | 4 | M | Indirect | ||
| 94,874 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 150,459 | No | 4 | M | Indirect | ||
| 149,320 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 13,662 | No | 4 | M | Indirect | ||
| 13,558 | No | 4 | S | Indirect | ||
| 0 | No | 4 | M | Indirect | ||
| 41,414 | No | 4 | M | Indirect | ||
| 40,420 | No | 4 | S | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 11,799 | Direct |
Footnotes
- Each share of Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering and has no expiration date.
- Catalysta Ventures, LLC ("Catalysta") is the general partner of Hatteras Venture Partners I, LP ("HVP I"). The securities held directly by HVP I are indirectly held by Catalysta. The reporting person is a manager of Catalysta and may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The reporting person disclaims beneficial ownership of the securities held by Catalysta and HVP I except to the extent of his pecuniary interest therein.
- Hatteras Venture Advisors III, LLC ("HVA III") is the general partner of Hatteras Venture Partners III, LP ("HVP III"), Hatteras Venture Affiliates III, LP ("HV Affiliates") and Venture Capital Multiplier Fund ("Multiplier Fund"). The securities held directly by HVP III, HV Affiliates and Multiplier Fund are indirectly held by HVA III. The reporting person is a manager of HVA III and may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. The reporting person disclaims beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of his pecuniary interest therein.
- Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering.
- The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering.
Billionaire Hedge Funds
