Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 3)*
Iterum Therapeutics plc
(Name of Issuer)
Ordinary Shares
(Title of Class of Securities)
G6333L 101
(CUSIP Number)
Steve R. Bailey
Frazier Healthcare Partners
601 Union Street, Suite 3200
Seattle, WA 98101
Telephone: (206) 621-7200
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
June 30, 2020
(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. G6333L 101 | Page 2 |
1. | Name of Reporting Persons.
Frazier Healthcare VII, L.P. | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
1,197,161 shares (1) | |||||
9. | Sole Dispositive Power
0 shares | |||||
10. | Shared Dispositive Power
1,197,161 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,197,161 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
5.6% (2) | |||||
14. | Type of Reporting Person (See Instructions)
PN |
(1) | Consists of 1,197,161 Ordinary Shares held directly by Frazier Healthcare VII, L.P. FHM VII, L.P. is the general partner of Frazier Healthcare VII, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the shares held by Frazier Healthcare VII, L.P. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
CUSIP No. G6333L 101 | Page 3 |
1. | Name of Reporting Persons.
Frazier Healthcare VII-A, L.P. | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
WC | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
341,155 shares (1) | |||||
9. | Sole Dispositive Power
0 shares | |||||
10. | Shared Dispositive Power
341,155 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
341,155 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
1.6% (2) | |||||
14. | Type of Reporting Person (See Instructions)
PN |
(1) | Consists of 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. FHM VII, L.P. is the general partner of Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the shares held by Frazier Healthcare VII-A, L.P. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
CUSIP No. G6333L 101 | Page 4 |
1. | Name of Reporting Persons.
FHM VII, L.P. | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
1,538,316 shares (1) | |||||
9. | Sole Dispositive Power
0 shares | |||||
10. | Shared Dispositive Power
1,538,316 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,538,316 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
7.2% (2) | |||||
14. | Type of Reporting Person (See Instructions)
PN |
(1) | Consists of 1,197,161 Ordinary Shares held directly by Frazier Healthcare VII, L.P. and 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. (collectively, the FH Shares). FHM VII, L.P. is the general partner of both Frazier Healthcare VII, L.P. and Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the FH Shares. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
CUSIP No. G6333L 101 | Page 5 |
1. | Name of Reporting Persons.
FHM VII, L.L.C. | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
Delaware | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
1,538,316 shares (1) | |||||
9. | Sole Dispositive Power
0 | |||||
10. | Shared Dispositive Power
1,538,316 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,538,316 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
7.2% (2) | |||||
14. | Type of Reporting Person (See Instructions)
OO |
(1) | Consists of 1,197,161 Ordinary Shares held directly by Frazier Healthcare VII, L.P. and 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. (collectively, the FH Shares). FHM VII, L.P. is the general partner of both Frazier Healthcare VII, L.P. and Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the FH Shares. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
CUSIP No. G6333L 101 | Page 6 |
1. | Name of Reporting Persons.
James Topper | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
United States Citizen | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
1,538,316 shares (1) | |||||
9. | Sole Dispositive Power
0 shares | |||||
10. | Shared Dispositive Power
1,538,316 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,538,316 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
7.2% (2) | |||||
14. | Type of Reporting Person (See Instructions)
IN |
(1) | Consists of 1,197,161 Ordinary Sh ares held directly by Frazier Healthcare VII, L.P. and 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. (collectively, the FH Shares). FHM VII, L.P. is the general partner of both Frazier Healthcare VII, L.P. and Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the FH Shares. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
CUSIP No. G6333L 101 | Page 7 |
1. | Name of Reporting Persons.
Patrick Heron | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
United States Citizen | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
18,842 shares | ||||
8. | Shared Voting Power
1,538,316 shares (1) | |||||
9. | Sole Dispositive Power
18,842 shares | |||||
10. | Shared Dispositive Power
1,538,316 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,557,158 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
7.3% (2) | |||||
14. | Type of Reporting Person (See Instructions)
IN |
(1) | Consists of (i) 9,006 Ordinary Shares held directly by Mr. Heron, (ii) 9,836 Ordinary Shares that are issuable upon the exercise of options held directly by Mr. Heron that are exercisable within 60 days of June 30, 2020, (iii) 1,197,161 Ordinary Shares held directly by Frazier Healthcare VII, L.P. and (iv) 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. (collectively, the FH Shares). FHM VII, L.P. is the general partner of both Frazier Healthcare VII, L.P. and Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the FH Shares. |
(2) | Based on (i) 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020, and (ii) 9,836 Ordinary Shares that are issuable upon the exercise of options held directly by Mr. Heron that are exercisable within 60 days of June 30, 2020. |
CUSIP No. G6333L 101 | Page 8 |
1. | Name of Reporting Persons.
Alan Frazier | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
United States Citizen | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
1,538,316 shares (1) | |||||
9. | Sole Dispositive Power
0 shares | |||||
10. | Shared Dispositive Power
1,538,316 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,538,316 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
7.2% (2) | |||||
14. | Type of Reporting Person (See Instructions)
IN |
(1) | Consists of 1,197,161 Ordinary Shares held directly by Frazier Healthcare VII, L.P. and 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. (collectively, the FH Shares). FHM VII, L.P. is the general partner of both Frazier Healthcare VII, L.P. and Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the FH Shares. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
CUSIP No. G6333L 101 | Page 9 |
1. | Name of Reporting Persons.
Nader Naini | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
United States Citizen | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
1,538,316 shares (1) | |||||
9. | Sole Dispositive Power
0 shares | |||||
10. | Shared Dispositive Power
1,538,316 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,538,316 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
7.2% (2) | |||||
14. | Type of Reporting Person (See Instructions)
IN |
(1) | Consists of 1,197,161 Ordinary Shares held directly by Frazier Healthcare VII, L.P. and 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. (collectively, the FH Shares). FHM VII, L.P. is the general partner of both Frazier Healthcare VII, L.P. and Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the FH Shares. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
CUSIP No. G6333L 101 | Page 10 |
1. | Name of Reporting Persons.
Brian Morfitt | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
United States Citizen | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
1,538,316 shares (1) | |||||
9. | Sole Dispositive Power
0 shares | |||||
10. | Shared Dispositive Power
1,538,316 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,538,316 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
7.2% (2) | |||||
14. | Type of Reporting Person (See Instructions)
IN |
(1) | Consists of 1,197,161 Ordinary Shares held directly by Frazier Healthcare VII, L.P. and 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. (collectively, the FH Shares). FHM VII, L.P. is the general partner of both Frazier Healthcare VII, L.P. and Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the FH Shares. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
CUSIP No. G6333L 101 | Page 11 |
1. | Name of Reporting Persons.
Nathan Every | |||||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) (a) ☐ (b) ☒
| |||||
3. | SEC USE ONLY
| |||||
4. | Source of Funds (See Instructions)
AF | |||||
5. | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)
☐ | |||||
6. | Citizenship or Place of Organization
United States Citizen | |||||
Number of Shares Beneficially Owned by Each Reporting Person With:
|
7. | Sole Voting Power
0 shares | ||||
8. | Shared Voting Power
1,538,316 shares (1) | |||||
9. | Sole Dispositive Power
0 shares | |||||
10. | Shared Dispositive Power
1,538,316 shares (1) | |||||
11. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,538,316 shares (1) | |||||
12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)
☐ | |||||
13. | Percent of Class Represented by Amount in Row (11)
7.2% (2) | |||||
14. | Type of Reporting Person (See Instructions)
IN |
(1) | Consists of 1,197,161 Ordinary Shares held directly by Frazier Healthcare VII, L.P. and 341,155 Ordinary Shares held directly by Frazier Healthcare VII-A, L.P. (collectively, the FH Shares). FHM VII, L.P. is the general partner of both Frazier Healthcare VII, L.P. and Frazier Healthcare VII-A, L.P. and FHM VII, L.L.C. is the general partner of FHM VII, L.P. Alan Frazier, Nader Naini, Patrick Heron, James Topper, Nathan Every, and Brian Morfitt are the members of FHM VII, L.L.C. and therefore share voting and investment power over the FH Shares. |
(2) | Based on 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020. |
Item 1. | Security and Issuer. |
This Amendment No. 3 (Amendment No. 3) to Schedule 13D amends the statement on Schedule 13D filed on June 8, 2018 (the Original Schedule 13D), as amended by Amendment No. 1 as filed with the Securities and Exchange Commission on January 27, 2020 (Amendment 1), Amendment No. 2 as filed with the Securities and Exchange Commission on June 16, 2020 (Amendment 2 and together with the Original Scheduled 13D, Amendment No. 1 and this Amendment No. 3, the Schedule 13D) with respect to the Ordinary Shares of Iterum Therapeutics plc (the Issuer), having its principal executive office at Block 2 Floor 3, Harcourt Centre, Harcourt Street, Dublin 2, Ireland. Except as otherwise specified in Amendment No. 3, all items in the Schedule 13D, as amended by Amendment 1 and Amendment 2, are unchanged. All capitalized terms used in this Amendment No. 3 and not otherwise defined herein have the meanings ascribed to such terms in the Original Schedule 13D.
The Reporting Persons are filing this Amendment No. 3 to report a decrease in the percentage of the class beneficially owned by the Reporting Persons due to an increase in the aggregate number of outstanding securities of the Issuer.
Item 5. | Interest in Securities of the Issuer |
(a) | FH VII and FH VIIA are the record owners of the FH Shares. As the sole general partner of FH VII and of FH VIIA, FHM L.P. may be deemed to beneficially own the FH Shares. As the sole general partner of FHM L.P., FHM L.L.C. may be deemed to beneficially own the FH Shares. As members of FHM L.L.C., each of the Members may be deemed to beneficially own the FH Shares. |
The percentage of outstanding Ordinary Shares of the Issuer, which may be deemed to be beneficially owned by each Reporting Person, is set forth on Line 13 of such Reporting Persons cover sheet. For each Reporting Person other than Heron, such percentage was calculated based on the 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020.
Herons percentage was calculated based on (i) 21,224,835 Ordinary Shares that were anticipated to be outstanding following the Issuers public offering as set forth in the Issuers final prospectus filed with the SEC pursuant to Rule 424(b)(5) on July 1, 2020, and (ii) 9,836 Ordinary Shares that are issuable upon the exercise of options held directly by Mr. Heron that are exercisable within 60 days of June 30, 2020.
(b) | Regarding the number of shares as to which such person has: |
a. | Sole power to vote or to direct the vote: See line 7 of cover sheets. |
b. | Shared power to vote or to direct the vote: See line 8 of cover sheets. |
c. | Sole power to dispose or to direct the disposition: See line 9 of cover sheets. |
d. | Shared power to dispose or to direct the disposition: See line 10 of cover sheets. |
(c) | Not applicable. |
Page 12
(d) | No other person is known to have the right to receive or the power to direct the receipt of dividends from, or any proceeds from the sale of, the FH Shares beneficially owned by any of the Reporting Persons. |
(e) | Not applicable. |
Page 13
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: July 6, 2020 | FRAZIER HEALTHCARE VII, L.P. | |||||
By FHM VII, L.P., its general partner | ||||||
By FHM VII, L.L.C., its general partner | ||||||
By: | /s/ Steve R. Bailey | |||||
Steve R. Bailey, Chief Financial Officer | ||||||
Date: July 6, 2020 | FRAZIER HEALTHCARE VII-A, L.P. | |||||
By FHM VII, L.P., its general partner | ||||||
By FHM VII, L.L.C., its general partner | ||||||
By: | /s/ Steve R. Bailey | |||||
Steve R. Bailey, Chief Financial Officer | ||||||
Date: July 6, 2020 | FHM VII, L.P. | |||||
By FHM VII, L.L.C., its general partner | ||||||
By: | /s/ Steve R. Bailey | |||||
Steve R. Bailey, Chief Financial Officer | ||||||
Date: July 6, 2020 | FHM VII, L.L.C. | |||||
By: | /s/ Steve R. Bailey | |||||
Steve R. Bailey, Chief Financial Officer | ||||||
Date: July 6, 2020 | By: | * | ||||
James Topper | ||||||
Date: July 6, 2020 | By: | * | ||||
Patrick Heron | ||||||
Date: July 6, 2020 | By: | * | ||||
Alan Frazier |
Page 14
Date: July 6, 2020 | By: | * | ||||
Nader Naini | ||||||
Date: July 6, 2020 | By: | * | ||||
Nathan Every | ||||||
Date: July 6, 2020 | By: | * | ||||
Brian Morfitt | ||||||
Date: July 6, 2020 | *By: | /s/ Steve R. Bailey | ||||
Steve R. Bailey, as Attorney-in-Fact |
This Schedule 13D was executed by Steve R. Bailey on behalf of the individuals listed above pursuant to a Power of Attorney, a copy of which was filed with the SEC on March 29, 2016.
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