IPO registrations (S-1, F-1) · Registrants
PHASERX, INC.
- SEC CIK
- 1429386 · filings on EDGAR ↗
- Former names
- PHASERX INC (2008–2010)
- Registration
- Form S-1, first filed 2016-04-18, last 2017-07-06; 2 initial registrations, 5 amendments
- Outcome
- Final prospectus filed 2016-05-18; declared effective 2016-05-17
- Industry (SIC)
- Pharmaceutical Preparations 2834
- Incorporated in
- DE
- Business address
- 410 WEST HARRISON STREET, SUITE 300, Seattle, WA 98119
- EIN
- 20-4690620
- EDGAR entity type
- operating
- Insiders and CEO pay
- PHASERX, INC. on the corporate pages
Offering terms
- Proposed price range
- $5.00–$7.00 per share (S-1/A filed 2016-05-16)
- Final price
- $5.00 per share, within the range (424B4 filed 2016-05-18, an initial public offering)
- Shares sold
- 3,700,000
- Gross proceeds
- $18,500,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol PZRX
- Lead underwriters
- Laidlaw & Company (1,850,000 shares); Roth Capital Partners (1,850,000 shares)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Form 5500 plan sponsor: PHASERX EXACT (EIN (EXACT))
- Form D issuer: PHASERX, INC. EXACT (CIK (EXACT))
- SEC filer: PHASERX, INC. EXACT (CIK (EXACT))
- Person page: John D Diekman Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
- Person page: Rebecca B Robertson Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner))
- Person page: Richard J Ulevitch Phd Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 10
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2016-04-18 | S-1 | S-1 (registration) | PHASERX, INC. | 0001144204-16-094827 ↗ |
| 2016-05-02 | S-1/A | S-1/A (amendment) | PHASERX, INC. | 0001144204-16-098336 ↗ |
| 2016-05-06 | S-1/A | S-1/A (amendment) | PHASERX, INC. | 0001144204-16-099521 ↗ |
| 2016-05-10 | S-1/A | S-1/A (amendment) | PHASERX, INC. | 0001144204-16-100386 ↗ |
| 2016-05-16 | S-1/A | S-1/A (amendment) | PHASERX, INC. | 0001144204-16-102443 ↗ |
| 2016-05-17 | EFFECT | EFFECT (declared effective) | PHASERX, INC. | 9999999995-16-004689 ↗ |
| 2016-05-18 | 424B4 | 424B4 (final prospectus) | PHASERX, INC. | 0001144204-16-103429 ↗ |
| 2016-05-23 | 424B4 | 424B4 (final prospectus) | PHASERX, INC. | 0001144204-16-104201 ↗ |
| 2017-06-21 | S-1 | S-1 (registration) | PHASERX, INC. | 0001571049-17-006086 ↗ |
| 2017-07-06 | S-1/A | S-1/A (amendment) | PHASERX, INC. | 0001571049-17-006498 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2016-05-16 | S-1/A | registration statement | $5.00–$7.00 | 3,700,000 | - | Nasdaq PZRX | 2 | primary document; range, price line, shares headline, proceeds computed, price outside the range dropped, cover names 2 | document ↗ | |
| 2016-05-18 | 424B4 | final prospectus | $5.00 | 3,700,000 | $18,500,000 | Nasdaq PZRX | 2 | primary document; price sentence, shares headline, proceeds table, underwriting table 2, cover names 2 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| 5AM CO-INVESTORS II LP | TenPercentOwner | 2 | 2016 | ||
| 5AM Partners II, LLC | TenPercentOwner | 2 | 2016 | ||
| 5AM Ventures II LP | TenPercentOwner | 2 | 2016 | ||
| Arch Venture Fund VII LP | TenPercentOwner | 3 | 2016 | ||
| ARCH Venture Partners VII, LLC | TenPercentOwner | 3 | 2016 | ||
| ARCH Venture Partners VII, L.P. | TenPercentOwner | 3 | 2016 | ||
| ATWOOD BRIAN G | Director,TenPercentOwner | 8 | 2016–2017 | ||
| Bolzon Bradley J PhD | TenPercentOwner | 3 | 2016 | ||
| BURRIS MICHELLE | Director | 3 | 2016–2017 | ||
| BYBEE CLINTON | TenPercentOwner | 3 | 2016 | ||
| COLELLA SAMUEL D | TenPercentOwner | 3 | 2016 | ||
| CRANDELL KEITH | TenPercentOwner | 3 | 2016 | ||
| DIEKMAN JOHN D | TenPercentOwner | 2 | 2016 | person page Fuzzy | |
| GILLIS STEVEN | Director,TenPercentOwner | 5 | 2016–2017 | ||
| Houston Michael | Officer | Chief Scientific Officer | 4 | 2016–2017 | |
| JAFFE ROSS A MD | TenPercentOwner | 3 | 2016 | ||
| JOHNSON PAUL H | Director | 3 | 2016–2017 | ||
| LINK WILLIAM J PHD | TenPercentOwner | 3 | 2016 | ||
| LUBASH BARBARA N | TenPercentOwner | 3 | 2016 | ||
| MILDER DONALD B | TenPercentOwner | 3 | 2016 | ||
| NELSEN ROBERT | TenPercentOwner | 3 | 2016 | ||
| OVERELL ROBERT W | Director,Officer | President and CEO; President & CEO | 4 | 2016–2017 | |
| Praeger Robin L. | TenPercentOwner | 3 | 2016 | ||
| ROBERTSON REBECCA B | TenPercentOwner | 3 | 2016 | person page Fuzzy | |
| ROCKLAGE SCOTT M | TenPercentOwner | 2 | 2016 | ||
| Schmidt John A Jr | Director | 4 | 2016–2017 | ||
| Schwab Andrew J. | TenPercentOwner | 2 | 2016 | ||
| Tsui Shing-Yin | Officer | Senior VP, Finance, Secretary; VP, Finance, Secretary | 4 | 2016–2017 | |
| Ulevitch Richard J | Director; Director,TenPercentOwner | 4 | 2016 | person page Fuzzy | |
| Versant Side Fund III, L.P. | TenPercentOwner | 3 | 2016 | ||
| Versant Venture Capital III, L.P. | TenPercentOwner | 3 | 2016 | ||
| Versant Ventures III, LLC | TenPercentOwner | 3 | 2016 | ||
| Warden Charles M | TenPercentOwner | 3 | 2016 | ||
| ALEXANDRIA REAL ESTATE EQUITIES INC | TenPercentOwner | 1 | 2016 | ||
| BRANDT GORDON | Officer | Chief Medical Officer | 4 | 2016–2017 | |
| Phillips Peggy V | Director | 3 | 2016–2017 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2016-06-09 | PHASERX, INC. | Biotechnology | $420,000 | $0 | 1 | 1 |
| 2015-12-29 | PHASERX, INC. | Biotechnology | $4,000,000 | $4,000,000 | 17 | 1 |
| 2012-02-14 | PHASERX, INC. | Biotechnology | $4,650,037 | $3,600,037 | 5 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Form D issuer | PHASERX, INC. | WA | Form D private offerings | CIK (EXACT) |
| SEC filer | PHASERX, INC. | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | PHASERX | EIN (EXACT) | ||
| Person page | John D Diekman | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) | |
| Person page | Rebecca B Robertson | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (TenPercentOwner) | |
| Person page | Richard J Ulevitch Phd | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.