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