Phathom Pharmaceuticals Inc
For the period ended Mar 31, 2025. Filed May 1, 2025.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2025 · Filed May 1, 2025
PHAT$5.33+1.5%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Exhibit Description | Form | Date | Number | FiledHerewith |
| 3.1 | Amended and Restated Certificate of Incorporation | 8-K | 10/29/19 | 3.1 | |
| 3.2 | Certificate of Amendment to Amended and Restated Certificate of Incorporation, as filed with the Secretary of the State of Delaware on May 26, 2023 | 8-K | 5/30/23 | 3.1 | |
| 3.3 | Amended and Restated Bylaws, effective as of December 13, 2023 | 8-K | 12/15/23 | 3.1 | |
| 4.1 | Form of Common Stock Certificate | S-1/A | 10/15/19 | 4.1 | |
| 4.2 | Warrant to purchase stock issued to Silicon Valley Bank, dated May 14, 2019 | S-1 | 9/30/19 | 4.3 | |
| 4.3 | Warrant to purchase stock issued to WestRiver Innovation Lending Fund VIII, L.P., dated May 14, 2019 | S-1 | 9/30/19 | 4.4 | |
| 4.4 | Warrant to purchase stock issued to Hercules Capital, dated September 17, 2021 | 10-Q | 11/8/21 | 10.2 | |
| 4.5 | First Amendment to Warrant to purchase stock issued to Hercules Capital, dated May 9, 2023 | 10-Q | 5/10/23 | 4.5 | |
| 4.6 | Form of Warrant to purchase stock issuable pursuant to the Loan and Security Agreement, as amended, by and between the Registrant and Hercules Capital, Inc. | 10-Q | 5/10/23 | 4.6 | |
| 4.7 | Note Purchase Agreement, dated May 7, 2019, by and among the Registrant and the other parties party thereto, as amended | S-1/A | 10/15/19 | 4.5 | |
| 4.8 | Form of Pre-Funded Warrant to purchase common stock | 8-K | 8/19/24 | 4.1 | |
| 10.1# | Employment Letter Agreement, dated March 31, 2025, by and between Steven Basta and the Registrant | X | |||
| 10.2# | Separation Agreement, dated April 2, 2025, by and between Terrie Curran and the Registrant | X | |||
| 10.3# | Phathom Pharmaceuticals, Inc. 2025 Employment Inducement Incentive Award Plan and related forms of stock option, restricted stock unit and performance stock unit agreements thereunder | S-8 | 4/3/2025 | 10.1 | |
| 31.1 | Certification of Chief Executive Officer of Phathom Pharmaceuticals, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 31.2 | Certification of Chief Financial Officer of Phathom Pharmaceuticals, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.1* | Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.2* | Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X | |||
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document | X |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
- This certification is deemed not filed for purpose of section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act.
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