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
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5.00
A
1820933
I
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Common Stock
2018-10-22
4
C
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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
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1045222
I
By Hatteras Venture Partners III, LP
Series B Preferred Stock
2018-10-22
4
S
0
458
5.00
D
Common Stock
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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
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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
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0.00
D
Common Stock
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I
By Hatteras Venture Affiliates III, LP
Series B Preferred Stock
2018-10-22
4
C
0
1044764
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Common Stock
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I
By Hatteras Venture Partners III, LP
Series B Preferred Stock
2018-10-22
4
C
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Common Stock
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2018-10-22
4
C
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149320
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D
Common Stock
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I
By Hatteras Venture Partners III, LP
Series C-1 Preferred Stock
2018-10-22
4
C
0
13558
0.00
D
Common Stock
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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
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I
By Venture Capital Multiplier Fund
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2018-10-22
4
C
0
272107
0.00
D
Common Stock
272107
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I
By Hatteras Venture Partners III, LP
Series D Preferred Stock
2018-10-22
4
C
0
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D
Common Stock
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I
By Hatteras Venture Affiliates III, LP
Series D Preferred Stock
2018-10-22
4
C
0
226061
0.00
D
Common Stock
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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