SEC Form 4 · accession 0001144204-16-104305
PHASERX, INC. · PZRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard J Ulevitch
Director
Period of report
May 23, 2016
Accepted (ET)
May 23, 2016 · 7:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001429386
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | May 23, 2016 | S | 125,829 | $0.01 | D | 1,117,413 | I | By 5AM Ventures II, LP |
| Common StockF1,F2 | May 23, 2016 | S | 312,647 | $0.01 | D | 804,766 | I | By 5AM Ventures II, LP |
| Common StockF1,F2 | May 23, 2016 | P | 96,204 | $5.00 | A | 900,970 | I | By 5AM Ventures II, LP |
| Common StockF1,F2 | May 23, 2016 | S | 4,965 | $0.01 | D | 44,092 | I | By 5AM Co-Investors II, LP |
| Common StockF1,F2 | May 23, 2016 | S | 12,336 | $0.01 | D | 31,756 | I | By 5AM Co-Investors II, LP |
| Common StockF1,F2 | May 23, 2016 | P | 3,796 | $5.00 | A | 35,552 | I | By 5AM Co-Investors II, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F15AM Partners II LLC is the general partner of each of 5AM Ventures II, LP and 5AM Co-Investors II, LP ("5AM Ventures"). Andrew J. Schwab, John Diekman and Scott M. Rocklage are the managing members of 5AM Partners II LLC and are deemed to have voting and dispositive power over the shares and may be deemed to beneficially own shares held by 5AM Ventures. Dr. Ulevitch is a member of and owns an interest in 5AM Partners II LLC.
- F2Accordingly, Mr. Schwab, Dr. Diekman, Mr. Rocklage and Dr. Ulevitch may be deemed to beneficially own the securities held by 5AM Ventures. Mr. Schwab, Dr. Diekman, Mr. Rocklage and Dr. Ulevitch each disclaims beneficial ownership of these securities and this disclosure shall not be deemed an admission that Mr. Schwab, Dr. Diekman, Mr. Rocklage and Dr. Ulevitch is the beneficial owner of such securities for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended, or any other purpose.