SEC Form 4 · accession 0001209191-18-056046

PhaseBio Pharmaceuticals Inc · PHAS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Oct 22, 2018

Accepted (ET)

Oct 24, 2018 · 4:16 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001169245

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Oct 22, 2018	C	2,404,554	—	A	2,404,554	I	By Zeneca, Inc.
Common Stock^F2	Oct 22, 2018	P	600,000	$5.00	A	3,004,554	I	By Zeneca, Inc.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrants to Purchase Series C-1 Preferred Stock^F2,F4,F1	$0.12	Oct 22, 2018	X	113,891	D	—	—	Series C-1 Preferred Stock	113,891	0	I
Series C-1 Preferred Stock^F2,F1	—	Oct 22, 2018	X	113,891	A	—	—	Common Stock	113,891	1,666,951	I
Series C-1 Preferred Stock^F2,F1	—	Oct 22, 2018	S	2,734	D	—	—	Common Stock	2,734	1,664,217	I
Series C-1 Preferred Stock^F2,F1	—	Oct 22, 2018	C	1,664,217	D	—	—	Common Stock	1,664,217	0	I
Series D Preferred Stock^F2,F1	—	Oct 22, 2018	C	740,337	D	—	—	Common Stock	740,337	0	I

F1Each 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.
F2Zeneca Inc. is a wholly-owned subsidiary of AstraZeneca PLC. AstraZeneca PLC may be deemed to beneficially own the securities held by Zeneca Inc., but disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, if any.
F3Represents the net exercise of the warrants immediately prior to, and contingent upon, the closing of the Issuer's initial public offering.
F4The warrants were exercisable until, and were scheduled to expire upon, the closing of the Issuer's initial public offering.