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FHMLS IX, L.P.

Disclosed activity across 4 companies

Tapewire entity
145855
SEC CIK
0001782789

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Mirum Pharmaceuticals, Inc.MIRM · Entity 241610% ownerJuly 22, 2019July 24, 2019
Passage BIO, Inc.PASG · Entity 782910% ownerMarch 03, 2020March 03, 2020
Phathom Pharmaceuticals, Inc.PHAT · Entity 517710% ownerJune 12, 2020June 16, 2020

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Mirum Pharmaceuticals, Inc.

Report date July 22, 2019 · Filed July 24, 2019

Jointly reported with Frazier Life Sciences IX, L.P., FHMLS IX, L.L.C., Topper James N

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect3,566,912 Last balance in matching sequence After 2019-07-22 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rows

Row 1 · 2019-07-22 · Conversion · Acquired 3,116,912 · Balance 3,116,912

F1: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. James N. Topper and Patrick Heron are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Row 2 · 2019-07-22 · Purchase · Acquired 450,000 · Balance 3,566,912

F3: The shares were purchased in the Issuer's initial public offering.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. James N. Topper and Patrick Heron are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Series A Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2019-07-22 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2019-07-22 · Conversion · Disposed 24,935,300 · Balance 0

F1: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. James N. Topper and Patrick Heron are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. James N. Topper and Patrick Heron are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

F3: The shares were purchased in the Issuer's initial public offering.

Passage BIO, Inc.

Report date March 03, 2020 · Filed March 03, 2020

Jointly reported with Frazier Life Sciences IX, L.P., FHMLS IX, L.L.C., Topper James N

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect5,009,219 Last balance in matching sequence After 2020-03-03 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rows

Row 1 · 2020-03-03 · Conversion · Acquired 2,977,242 · Balance 2,977,242

F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Row 2 · 2020-03-03 · Conversion · Acquired 1,049,175 · Balance 4,026,417

F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Row 3 · 2020-03-03 · Conversion · Acquired 432,802 · Balance 4,459,219

F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Row 4 · 2020-03-03 · Purchase · Acquired 550,000 · Balance 5,009,219

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Series A-1 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-03-03 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-03-03 · Conversion · Disposed 2,977,242 · Balance 0

F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Series A-2 Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-03-03 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2020-03-03 · Conversion · Disposed 1,049,175 · Balance 0

F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Series B Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-03-03 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2020-03-03 · Conversion · Disposed 432,802 · Balance 0

F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Phathom Pharmaceuticals, Inc.

Report date June 12, 2020 · Filed June 16, 2020

Jointly reported with Frazier Life Sciences IX, L.P., FHMLS IX, L.L.C., Topper James N, Heron Patrick J

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect5,827,415 Reported balance After 2020-06-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-06-12 · Other · Disposed 1,456,854 · Balance 5,827,415

F1: Represents a pro rata distribution in-kind by Frazier Life Sciences IX, L.P. ("FLS IX") to its limited partners for no consideration.

F2: Represents shares held of record by FLS IX. The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee footnote1 Reported balance Holding disclosure · report date 2020-06-12 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 1

F3: Reflects shares of Common Stock received in the distribution in-kind described herein.

F4: Represents shares held of record by FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. These shares were previously held through FLS IX.

Common StockSEC Table I · non-derivativeIndirectSee footnote12,596 Reported balance Holding disclosure · report date 2020-06-12 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 12,596

F3: Reflects shares of Common Stock received in the distribution in-kind described herein.

F5: Represents shares held directly by Dr. Topper. These shares were previously held through FLS IX.

Common StockSEC Table I · non-derivativeIndirectSee footnote3,912 Reported balance Holding disclosure · report date 2020-06-12 · row 4 Holding and transaction disclosures are not merged.
1 source row

Row 4 · Balance 3,912

F3: Reflects shares of Common Stock received in the distribution in-kind described herein.

F6: Represents shares held of record by Topper Group III LLC. Dr. Topper is a manager of Topper Group III LLC and has voting and investment power of the securities held by Topper Group III LLC. These shares were previously held through FLS IX.

Common StockSEC Table I · non-derivativeIndirectSee footnote14,937 Reported balance Holding disclosure · report date 2020-06-12 · row 5 Holding and transaction disclosures are not merged.
1 source row

Row 5 · Balance 14,937

F3: Reflects shares of Common Stock received in the distribution in-kind described herein.

F7: Represents shares held by The Heron Living Trust 11/30/2004. Mr. Heron is the co-trustee of The Heron Living Trust 11/30/2004 and has voting and investment power of the securities held by The Heron Living Trust 11/30/2004. These shares were previously held through FLS IX.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a pro rata distribution in-kind by Frazier Life Sciences IX, L.P. ("FLS IX") to its limited partners for no consideration.

F2: Represents shares held of record by FLS IX. The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

F3: Reflects shares of Common Stock received in the distribution in-kind described herein.

F4: Represents shares held of record by FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. These shares were previously held through FLS IX.

F5: Represents shares held directly by Dr. Topper. These shares were previously held through FLS IX.

F6: Represents shares held of record by Topper Group III LLC. Dr. Topper is a manager of Topper Group III LLC and has voting and investment power of the securities held by Topper Group III LLC. These shares were previously held through FLS IX.

F7: Represents shares held by The Heron Living Trust 11/30/2004. Mr. Heron is the co-trustee of The Heron Living Trust 11/30/2004 and has voting and investment power of the securities held by The Heron Living Trust 11/30/2004. These shares were previously held through FLS IX.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Tarsus Pharmaceuticals, Inc.

Report date October 20, 2020 · Filed October 21, 2020

Jointly reported with Frazier Life Sciences IX, L.P., FHMLS IX, L.L.C., Topper James N, Heron Patrick J

Section 16 reporting ended · disclosed 2020-10-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect1,917,157 Last balance in matching sequence After 2020-10-20 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2020-10-20 · Conversion · Acquired 1,390,376 · Balance 1,390,376

F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Row 2 · 2020-10-20 · Conversion · Acquired 214,281 · Balance 1,604,657

F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Row 3 · 2020-10-20 · Purchase · Acquired 312,500 · Balance 1,917,157

F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Series B Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-10-20 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2020-10-20 · Conversion · Disposed 1,390,376 · Balance 0

F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Series C Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2020-10-20 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2020-10-20 · Conversion · Disposed 214,281 · Balance 0

F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
October 20, 2020 Filed Oct 21, 2020 00:01 UTC Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 ConversionSeries C Preferred Stock · Derivative 214,281 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-055425 · doc4.xml · derivative · entry 5

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 214,281 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Read SEC document
October 20, 2020 Filed Oct 21, 2020 00:01 UTC Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 ConversionSeries B Preferred Stock · Derivative 1,390,376 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-055425 · doc4.xml · derivative · entry 4

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,390,376 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Read SEC document
October 20, 2020 Filed Oct 21, 2020 00:01 UTC Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 PurchaseCommon Stock 312,500 $16.00 $5,000,000.00
Disclosure

SEC source: 0001209191-20-055425 · doc4.xml · nonDerivative · entry 3

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,917,157

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Read SEC document
October 20, 2020 Filed Oct 21, 2020 00:01 UTC Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 ConversionCommon Stock 214,281 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-055425 · doc4.xml · nonDerivative · entry 2

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,604,657

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Read SEC document
October 20, 2020 Filed Oct 21, 2020 00:01 UTC Tarsus Pharmaceuticals, Inc. TARS · Entity 1836 ConversionCommon Stock 1,390,376 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-055425 · doc4.xml · nonDerivative · entry 1

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,390,376

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, each share of Series B Preferred Stock and Series C Preferred Stock (collectively, the "Preferred Stock") automatically converted into shares of the Issuer's common stock, par value $0.0001 per share, on a one-for-one basis. The shares of Preferred Stock had no expiration date.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. ("FLS LP"). The general partner of FLS LP is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, LLC. James Topper and Patrick Heron are the sole managing members of FHMLS IX, LLC, and share voting and dispositive power over the shares held by FLS LP. Each of Dr. Topper, Mr. Heron, FHMLS IX, L.P. and FHMLS IX, LLC disclaim beneficial ownership of the shares held by FLS LP, except to the extent of their pecuniary interest therein.

Read SEC document
June 12, 2020 Filed Jun 16, 2020 17:42 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 OtherCommon Stock 1,456,854 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-037031 · doc4.xml · nonDerivative · entry 1

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · Director · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,827,415

F1 · kind: Represents a pro rata distribution in-kind by Frazier Life Sciences IX, L.P. ("FLS IX") to its limited partners for no consideration.

F2 · ownership.direct: Represents shares held of record by FLS IX. The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 18:59 UTC Passage BIO, Inc. PASG · Entity 7829 ConversionSeries B Preferred Stock · Derivative 432,802 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015666 · doc4.xml · derivative · entry 7

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 432,802 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F1 · derivative.exercise_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F1 · derivative.expiration_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 18:59 UTC Passage BIO, Inc. PASG · Entity 7829 ConversionSeries A-2 Preferred Stock · Derivative 1,049,175 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015666 · doc4.xml · derivative · entry 6

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,049,175 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F1 · derivative.exercise_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F1 · derivative.expiration_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 18:59 UTC Passage BIO, Inc. PASG · Entity 7829 ConversionSeries A-1 Preferred Stock · Derivative 2,977,242 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-015666 · doc4.xml · derivative · entry 5

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,977,242 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F1 · derivative.exercise_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F1 · derivative.expiration_date: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 18:59 UTC Passage BIO, Inc. PASG · Entity 7829 PurchaseCommon Stock 550,000 $18.00 $9,900,000.00
Disclosure

SEC source: 0001209191-20-015666 · doc4.xml · nonDerivative · entry 4

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,009,219

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 18:59 UTC Passage BIO, Inc. PASG · Entity 7829 ConversionCommon Stock 432,802 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-015666 · doc4.xml · nonDerivative · entry 3

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,459,219

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 18:59 UTC Passage BIO, Inc. PASG · Entity 7829 ConversionCommon Stock 1,049,175 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-015666 · doc4.xml · nonDerivative · entry 2

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,026,417

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
March 03, 2020 Filed Mar 3, 2020 18:59 UTC Passage BIO, Inc. PASG · Entity 7829 ConversionCommon Stock 2,977,242 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-20-015666 · doc4.xml · nonDerivative · entry 1

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,977,242

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of the issuer's Series A-1 Preferred Stock, Series A-2 Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on March 3, 2020.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. Patrick J. Heron and James N. Topper are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Each of Mr. Heron, Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
October 29, 2019 Filed Oct 30, 2019 17:04 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 ConversionConvertible Promissory Notes · Derivative Not disclosed Not disclosed $20,575,342.48
Disclosure

SEC source: 0001209191-19-054525 · doc4.xml · derivative · entry 3

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

Topper James N · CIK 0001341382 · Director · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,353,640 shares

Expires 2020-05-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share.

F1 · derivative.exercise_date: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share.

F1 · derivative.expiration_date: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share.

F2 · ownership.direct: The shares reported herein are held of record by Frazier Life Sciences IX, L.P. ("FLS IX"). The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

Read SEC document
October 29, 2019 Filed Oct 30, 2019 17:04 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 PurchaseCommon Stock 1,052,631 $19.00 $19,999,989.00
Disclosure

SEC source: 0001209191-19-054525 · doc4.xml · nonDerivative · entry 2

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

Topper James N · CIK 0001341382 · Director · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,284,269

F2 · ownership.direct: The shares reported herein are held of record by Frazier Life Sciences IX, L.P. ("FLS IX"). The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

Read SEC document
October 29, 2019 Filed Oct 30, 2019 17:04 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 ConversionCommon Stock 1,353,640 $15.20 $20,575,328.00
Disclosure

SEC source: 0001209191-19-054525 · doc4.xml · nonDerivative · entry 1

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

Topper James N · CIK 0001341382 · Director · 10% owner

Heron Patrick J · CIK 0001365617 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,231,638

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, the outstanding principal and unpaid accrued interest due on the Convertible Promissory Notes automatically converted into shares of the Issuer's Common Stock based on a conversion price of $15.20 per share.

F2 · ownership.direct: The shares reported herein are held of record by Frazier Life Sciences IX, L.P. ("FLS IX"). The general partner of FLS IX is FHMLS IX, L.P., and the general partner of FHMLS IX, L.P. is FHMLS IX, L.L.C. James Topper and Patrick Heron are the sole managing members of FHMLS IX, L.L.C. and share voting and investment power of the securities held by FLS IX. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

Read SEC document
July 22, 2019 Filed Jul 24, 2019 16:17 UTC Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 ConversionSeries A Preferred Stock · Derivative 24,935,300 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-043024 · doc4.xml · derivative · entry 3

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,116,912 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F1 · derivative.exercise_date: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F1 · derivative.expiration_date: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F1 · derivative.underlying_shares: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. James N. Topper and Patrick Heron are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

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July 22, 2019 Filed Jul 24, 2019 16:17 UTC Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 PurchaseCommon Stock 450,000 $15.00 $6,750,000.00
Disclosure

SEC source: 0001209191-19-043024 · doc4.xml · nonDerivative · entry 2

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,566,912

F3 · kind: The shares were purchased in the Issuer's initial public offering.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. James N. Topper and Patrick Heron are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

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July 22, 2019 Filed Jul 24, 2019 16:17 UTC Mirum Pharmaceuticals, Inc. MIRM · Entity 2416 ConversionCommon Stock 3,116,912 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-19-043024 · doc4.xml · nonDerivative · entry 1

Frazier Life Sciences IX, L.P. · CIK 0001720320 · 10% owner

FHMLS IX, L.P. · CIK 0001782789 · 10% owner

FHMLS IX, L.L.C. · CIK 0001782791 · 10% owner

Topper James N · CIK 0001341382 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,116,912

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F1 · price: In connection with the Issuer's initial public offering, each share of the Issuer's Series A Preferred Stock automatically converted into 0.125 shares of the Issuer's Common Stock. The shares have no expiration date.

F2 · ownership.direct: The shares are held directly by Frazier Life Sciences IX, L.P. FHMLS IX, L.P. is the general partner of Frazier Life Sciences IX, L.P. FHMLS IX, L.L.C. is the general partner of FHMLS IX, L.P. James N. Topper and Patrick Heron are the managing members of FHMLS IX, L.L.C. and share voting and dispositive power over the shares held by Frazier Life Sciences IX, L.P. Mr. Topper, FHMLS IX, L.P. and FHMLS IX, L.L.C. disclaim beneficial ownership of the shares held by Frazier Life Sciences IX, L.P., except to the extent of his or its pecuniary interest therein, if any.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.