0001209191-18-056048.txt : 20181024 0001209191-18-056048.hdr.sgml : 20181024 20181024161807 ACCESSION NUMBER: 0001209191-18-056048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181022 FILED AS OF DATE: 20181024 DATE AS OF CHANGE: 20181024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Catalysta Ventures, LLC CENTRAL INDEX KEY: 0001756233 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136592 BUSINESS ADDRESS: STREET 1: C/O HATTERAS VENTURES STREET 2: 280 S. MANGUM STREET, SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: (919) 484-0730 MAIL ADDRESS: STREET 1: C/O HATTERAS VENTURES STREET 2: 280 S. MANGUM STREET, SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Venture Capital Multiplier Fund CENTRAL INDEX KEY: 0001756148 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136593 BUSINESS ADDRESS: STREET 1: C/O HATTERAS VENTURES STREET 2: 280 S. MANGUM ST., SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: (919) 484-0730 MAIL ADDRESS: STREET 1: C/O HATTERAS VENTURES STREET 2: 280 S. MANGUM ST., SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INGRAM ROBERT ALEXANDER CENTRAL INDEX KEY: 0001219890 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136594 MAIL ADDRESS: STREET 1: 280 S. MANGUM STREET STREET 2: SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 FORMER NAME: FORMER CONFORMED NAME: INGRAM ROBERT A DATE OF NAME CHANGE: 20030222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEE KENNETH B JR CENTRAL INDEX KEY: 0001208570 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136595 MAIL ADDRESS: STREET 1: 7100 WEST CREDIT AVENUE, SUITE 101 STREET 2: C/O ARALEZ PHARMACEUTICALS INC. CITY: MISSISSAUGA STATE: A6 ZIP: L5N 0E4 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatteras Venture Advisors III, LLC CENTRAL INDEX KEY: 0001674177 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136596 BUSINESS ADDRESS: STREET 1: 280 S. MANGUM STREET, SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: 919-484-0730 MAIL ADDRESS: STREET 1: 280 S. MANGUM STREET, SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatteras Ventures Partners III LP CENTRAL INDEX KEY: 0001390733 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136597 BUSINESS ADDRESS: STREET 1: 1822 E NC 54 Ste 250 CITY: Durham STATE: NC ZIP: 27713 BUSINESS PHONE: 9194840730 MAIL ADDRESS: STREET 1: 1822 E NC 54 Ste 250 CITY: Durham STATE: NC ZIP: 27713 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatteras Venture Affiliates III Lp CENTRAL INDEX KEY: 0001390738 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136598 BUSINESS ADDRESS: STREET 1: 1822 E NC 54 STREET 2: Ste 250 CITY: Durham STATE: NC ZIP: 27713 BUSINESS PHONE: 9194840730 MAIL ADDRESS: STREET 1: 1822 E NC 54 STREET 2: Ste 250 CITY: Durham STATE: NC ZIP: 27713 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatteras Venture Partners I, LP CENTRAL INDEX KEY: 0001756231 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136599 BUSINESS ADDRESS: STREET 1: C/O HATTERAS VENTURES STREET 2: 280 S. MANGUM STREET, SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: (919) 484-0730 MAIL ADDRESS: STREET 1: C/O HATTERAS VENTURES STREET 2: 280 S. MANGUM STREET, SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reed Douglas MD CENTRAL INDEX KEY: 0001291262 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136600 MAIL ADDRESS: STREET 1: C/O VECTOR FUND MANAGEMENT STREET 2: 1751 LAKE COOK ROAD, SUITE 350 CITY: DEERFIELD STATE: IL ZIP: 60015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crumpler John CENTRAL INDEX KEY: 0001674107 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38697 FILM NUMBER: 181136601 MAIL ADDRESS: STREET 1: 280 S. MANGUM STREET STREET 2: SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PhaseBio Pharmaceuticals Inc CENTRAL INDEX KEY: 0001169245 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 030375697 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1 GREAT VALLEY PARKWAY STREET 2: SUITE 30 CITY: MALVERN STATE: PA ZIP: 19355 BUSINESS PHONE: (610) 981-6500 MAIL ADDRESS: STREET 1: 1 GREAT VALLEY PARKWAY STREET 2: SUITE 30 CITY: MALVERN STATE: PA ZIP: 19355 FORMER COMPANY: FORMER CONFORMED NAME: Phase Biosciences Inc DATE OF NAME CHANGE: 20061013 FORMER COMPANY: FORMER CONFORMED NAME: DT BIOSCIENCES INC DATE OF NAME CHANGE: 20020315 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-10-22 0 0001169245 PhaseBio Pharmaceuticals Inc PHAS 0001674177 Hatteras Venture Advisors III, LLC 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001390733 Hatteras Ventures Partners III LP C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001390738 Hatteras Venture Affiliates III Lp C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001756231 Hatteras Venture Partners I, LP C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001756233 Catalysta Ventures, LLC C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001756148 Venture Capital Multiplier Fund C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001219890 INGRAM ROBERT ALEXANDER C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001208570 LEE KENNETH B JR C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001291262 Reed Douglas MD C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 0001674107 Crumpler John C/O HATTERAS VENTURES 280 S. MANGUM ST., SUITE 350 DURHAM NC 27701 0 0 1 0 Common Stock 2018-10-22 4 C 0 52690 A 52690 I By Hatteras Venture Partners I, LP Common Stock 2018-10-22 4 C 0 1683420 A 1683420 I By Hatteras Venture Partners III, LP Common Stock 2018-10-22 4 P 0 137513 5.00 A 1820933 I By Hatteras Venture Partners III, LP Common Stock 2018-10-22 4 C 0 150612 A 150612 I By Hatteras Venture Affiliates III, LP Common Stock 2018-10-22 4 P 0 12487 5.00 A 163099 I By Hatteras Venture Affiliates III, LP Common Stock 2018-10-22 4 C 0 4846 A 4846 I By Catalysta Ventures, LLC Common Stock 2018-10-22 4 C 0 266481 A 266481 I By Venture Capital Multiplier Fund Common Stock 2018-10-22 4 P 0 150000 5.00 A 416481 I By Venture Capital Multiplier Fund Warrants to Purchase Series B Preferred Stock 0.12 2018-10-22 4 X 0 19061 0.00 D Series B Preferred Stock 19061 0 I By Hatteras Venture Partners III, LP Series B Preferred Stock 2018-10-22 4 X 0 19061 0.12 A Common Stock 19061 1045222 I By Hatteras Venture Partners III, LP Series B Preferred Stock 2018-10-22 4 S 0 458 5.00 D Common Stock 458 1044764 I By Hatteras Venture Partners III, LP Warrants to Purchase Series B Preferred Stock 0.12 2018-10-22 4 X 0 1731 0.00 D Series B Preferred Stock 1731 0 I By Hatteras Venture Affiliates III, LP Series B Preferred Stock 2018-10-22 4 X 0 1731 0.12 A Common Stock 1731 94916 I By Hatteras Venture Affiliates III, LP Series B Preferred Stock 2018-10-22 4 S 0 42 5.00 D Common Stock 42 94874 I By Hatteras Venture Affiliates III, LP Warrants to Purchase Series C-1 Preferred Stock 0.12 2018-10-22 4 X 0 47458 0.00 D Series C-1 Preferred Stock 47458 0 I By Hatteras Venture Partners III, LP Series C-1 Preferred Stock 2018-10-22 4 X 0 47458 0.12 A Common Stock 47458 150459 I By Hatteras Venture Partners III, LP Series C-1 Preferred Stock 2018-10-22 4 S 0 1139 5.00 D Common Stock 1139 149320 I By Hatteras Venture Partners III, LP Warrants to Purchase Series C-1 Preferred Stock 0.12 2018-10-22 4 X 0 4309 0.00 D Series C-1 Preferred Stock 4309 0 I By Hatteras Venture Affiliates III, LP Series C-1 Preferred Stock 2018-10-22 4 X 0 4309 0.12 A Common Stock 4309 13662 I By Hatteras Venture Affiliates III, LP Series C-1 Preferred Stock 2018-10-22 4 S 0 104 5.00 D Common Stock 104 13558 I By Hatteras Venture Affiliates III, LP Warrants to Purchase Series C-1 Preferred Stock 0.12 2018-10-22 4 X 0 41414 0.00 D Series C-1 Preferred Stock 41414 0 I By Venture Capital Multiplier Fund Series C-1 Preferred Stock 2018-10-22 4 X 0 41414 0.12 A Common Stock 41414 41414 I By Venture Capital Multiplier Fund Series C-1 Preferred Stock 2018-10-22 4 S 0 994 5.00 D Common Stock 994 40420 I By Venture Capital Multiplier Fund Series 1 Preferred Stock 2018-10-22 4 C 0 52690 0.00 D Common Stock 52690 0 I By Hatteras Venture Partners I, LP Series 1 Preferred Stock 2018-10-22 4 C 0 42530 0.00 D Common Stock 42530 0 I By Hatteras Venture Partners III, LP Series 1 Preferred Stock 2018-10-22 4 C 0 3862 0.00 D Common Stock 3862 0 I By Hatteras Venture Affiliates III, LP Series 1 Preferred Stock 2018-10-22 4 C 0 4846 0.00 D Common Stock 4846 0 I By Catalysta Ventures, LLC Series AA Preferred Stock 2018-10-22 4 C 0 174699 0.00 D Common Stock 174699 0 I By Hatteras Venture Partners III, LP Series AA Preferred Stock 2018-10-22 4 C 0 13609 0.00 D Common Stock 13609 0 I By Hatteras Venture Affiliates III, LP Series B Preferred Stock 2018-10-22 4 C 0 1044764 0.00 D Common Stock 1044764 0 I By Hatteras Venture Partners III, LP Series B Preferred Stock 2018-10-22 4 C 0 94874 0.00 D Common Stock 94874 0 I By Hatteras Venture Affiliates III, LP Series C-1 Preferred Stock 2018-10-22 4 C 0 149320 0.00 D Common Stock 149320 0 I By Hatteras Venture Partners III, LP Series C-1 Preferred Stock 2018-10-22 4 C 0 13558 0.00 D Common Stock 13558 0 I By Hatteras Venture Affiliates III, LP Series C-1 Preferred Stock 2018-10-22 4 C 0 40420 0.00 D Common Stock 40420 0 I By Venture Capital Multiplier Fund Series D Preferred Stock 2018-10-22 4 C 0 272107 0.00 D Common Stock 272107 0 I By Hatteras Venture Partners III, LP Series D Preferred Stock 2018-10-22 4 C 0 24709 0.00 D Common Stock 24709 0 I By Hatteras Venture Affiliates III, LP Series D Preferred Stock 2018-10-22 4 C 0 226061 0.00 D Common Stock 226061 0 I By Venture Capital Multiplier Fund 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 under common control with Hatteras Venture Advisors III, LLC ("HVA III"). 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, which may be deemed to share voting and dispositive power with regard to the securities directly held by HVP I. Catalysta disclaims beneficial ownership of the securities held by HVP I except to the extent of its pecuniary interest therein. The individual managers of Catalysta are Clay B. Thorp and John Crumpler (the "Managers"), who may be deemed to share voting and dispositive power with regard to the securities held directly by Catalysta and HVP I. The Managers disclaim beneficial ownership of the securities held by Catalysta and HVP I except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. 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 individual managers of HVA III are Clay B. Thorp, Robert A. Ingram, Kenneth B. Lee, Douglas Reed, MD and John Crumpler (the "GP Directors"). HVA III and the GP Directors may be deemed to share voting and dispositive power with regard to the securities directly held by HVP III, HV Affiliates and Multiplier Fund. HVA III and the GP Directors disclaim beneficial ownership of the securities held by HVP III, HV Affiliates and Multiplier Fund except to the extent of their pecuniary interest therein. Mr. Thorp is a director of the Issuer and files Section 16 reports separately. 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. /s/ Darren K. DeStefano, Attorney-in-Fact for Hatteras Venture Advisors III, LLC 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for Hatteras Venture Partners III, LP 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for Hatteras Venture Affiliates III, LP 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for Hatteras Venture Partners I, LP 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for Catalysta Ventures, LLC 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for Venture Capital Multiplier Fund 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for Robert A. Ingram 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for Kenneth B. Lee 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for Douglas Reed 2018-10-24 /s/ Darren K. DeStefano, Attorney-in-Fact for John Crumpler 2018-10-24