0001104659-20-012009.txt : 20200206 0001104659-20-012009.hdr.sgml : 20200206 20200206170037 ACCESSION NUMBER: 0001104659-20-012009 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200206 FILED AS OF DATE: 20200206 DATE AS OF CHANGE: 20200206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RA CAPITAL MANAGEMENT, L.P. CENTRAL INDEX KEY: 0001346824 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 20583441 BUSINESS ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-2500 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: RA CAPITAL MANAGEMENT, LLC DATE OF NAME CHANGE: 20051213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RA Capital Healthcare Fund LP CENTRAL INDEX KEY: 0001315082 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 20583442 BUSINESS ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 6177782500 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: RA Capital Biotech Fund LP DATE OF NAME CHANGE: 20050121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kolchinsky Peter CENTRAL INDEX KEY: 0001384859 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 20583443 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shah Rajeev M. CENTRAL INDEX KEY: 0001619841 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39094 FILM NUMBER: 20583444 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Phathom Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001783183 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 824151574 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2150 E. LAKE COOK ROAD, SUITE 800 CITY: BUFFALO GROVE STATE: IL ZIP: 60089 BUSINESS PHONE: 650-325-5156 MAIL ADDRESS: STREET 1: 2150 E. LAKE COOK ROAD, SUITE 800 CITY: BUFFALO GROVE STATE: IL ZIP: 60089 3/A 1 tm206983-1_3a.xml OWNERSHIP DOCUMENT X0206 3/A 2020-02-06 2019-11-04 0 0001783183 Phathom Pharmaceuticals, Inc. PHAT 0001346824 RA CAPITAL MANAGEMENT, L.P. 200 BERKELEY STREET, 18TH FLOOR BOSTON MA 02116 0 0 1 0 0001315082 RA Capital Healthcare Fund LP 200 BERKELEY STREET 18TH FLOOR BOSTON MA 02116 0 0 1 0 0001384859 Kolchinsky Peter 200 BERKELEY STREET 18TH FLOOR BOSTON MA 02116 0 0 1 0 0001619841 Shah Rajeev M. 200 BERKELEY STREET 18TH FLOOR BOSTON MA 02116 0 0 1 0 Common Stock 3646808 I See Footnote These securities include 3,115,596 shares held by RA Capital Healthcare Fund, L.P. (the "Fund") and 531,212 shares held in a separately managed account (the "Account"). On October 25, 2019, RA Capital Management, LLC, a Massachusetts limited liability corporation (the "Predecessor Adviser") was the general partner of the Fund and the investment adviser for the Account, and Peter Kolchinsky was the sole manager of the Adviser. On November 1, 2019, the Predecessor Adviser was replaced as general partner of the Fund by RA Capital Healthcare Fund GP, LLC and was restructured to become RA Capital Management, L.P., a Delaware limited partnership (the "Adviser"). The general partner of the Adviser is RA Capital Management GP, LLC, of which Dr. Kolchinsky and Rajeev Shah are the controlling persons. The Adviser, RA Capital Management GP, LLC, Dr. Kolchinsky, and Mr. Shah as of November 1, 2019, may be deemed indirect beneficial owners of the reported securities for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act"). They disclaim beneficial ownership of any of the reported securities for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(1)(v) and (vii). To the extent that they might be deemed subject to Section 16, they disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein, and disclaim any pecuniary interest in securities held in the Account. The filing of this Form 3 shall not be construed as an admission that either the Adviser, RA Capital Management GP, LLC, Dr. Kolchinsky, or Mr. Shah is or was for the purposes of Section 16(a), or otherwise, the beneficial owner of any of the securities held in the Account. /s/ Peter Kolchinsky, Manager of RA Capital Management, L.P. 2020-02-06 /s/ Peter Kolchinsky, Manager of RA Capital Healthcare GP, LLC, the General Partner of RA Capital Healthcare Fund, L.P. 2020-02-06 /s/ Peter Kolchinsky, individually 2020-02-06 /s/ Rajeev Shah, individually 2020-02-06