Phathom Pharmaceuticals CFO surrenders 13,485 shares

The Chief Financial & Bus. Officer's reported holdings included 214,718 directly held shares and 1,123 shares held through a 401(k).

Rhea-AI Filing Summary

Phathom Pharmaceuticals, Inc. Chief Financial & Bus. Officer Sanjeev Narula surrendered 13,485 shares of common stock on October 6, 2026, to satisfy the issuer’s tax-withholding obligation. The reported price was $6.78 per share. After the transaction, he held 214,718 shares directly, including 1,488 shares acquired under the employee stock purchase plan in July 2026, and 1,123 shares indirectly through a 401(k).

Insider Trade Summary

Tax Withholding: 13,485 shares

Tax Withholding 2 txns

Insider Narula Sanjeev

Role Chief Financial & Bus. Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1, F2	13,485	$6.78	$91K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 214,718 shares (Direct); Common Stock — 1,123 shares (Indirect, By 401(k))

Footnotes (2)

1. F1. Represents shares underlying the restricted stock units that were surrendered by the reporting person to the Issuer in satisfaction of the Issuer's tax withholding obligation.
2. F2. Includes 1,488 shares acquired under the Phathom Pharmaceuticals, Inc. employee stock purchase plan in July 2026.

Key Figures

Shares surrendered for tax withholding: 13,485 shares Reported price: $6.78 per share Direct common shares held after transaction: 214,718 shares +1 more

4 metrics

Shares surrendered for tax withholding 13,485 shares October 6, 2026

Reported price $6.78 per share October 6, 2026 transaction

Direct common shares held after transaction 214,718 shares Includes 1,488 shares acquired under the employee stock purchase plan in July 2026

Indirect common shares held through a 401(k) 1,123 shares Reported October 6, 2026

Key Terms

restricted stock units, tax withholding obligation, employee stock purchase plan

3 terms

restricted stock units financial

"shares underlying the restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

tax withholding obligation financial

"in satisfaction of the Issuer's tax withholding obligation"

employee stock purchase plan financial

"shares acquired under the Phathom Pharmaceuticals, Inc. employee stock purchase plan"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many PHAT shares did the chief financial and business officer surrender?

Chief Financial & Bus. Officer Sanjeev Narula surrendered 13,485 shares of common stock on October 6, 2026, to satisfy the issuer’s tax-withholding obligation. The reported price was $6.78 per share. Afterward, he held 214,718 shares directly, including 1,488 shares acquired under the employee stock purchase plan in July 2026, and 1,123 shares indirectly through a 401(k).

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/08/2026 - 05:45 PM Accepted by SEC EDGAR 10/08/2026 - 05:44 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Narula Sanjeev

(Last) (First) (Middle)

C/O PHATHOM PHARMACEUTICALS, INC.

100 CAMPUS DRIVE, SUITE 102

(Street)

FLORHAM PARK NEW JERSEY 07932

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Phathom Pharmaceuticals, Inc. [ PHAT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial & Bus. Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/06/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	10/06/2026		F(1)		13,485	D	$6.78	214,718(2)	D
Common Stock								1,123	I	By 401(k)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents shares underlying the restricted stock units that were surrendered by the reporting person to the Issuer in satisfaction of the Issuer's tax withholding obligation.

2. Includes 1,488 shares acquired under the Phathom Pharmaceuticals, Inc. employee stock purchase plan in July 2026.

	/s/ Robert Breedlove, Attorney-in-Fact for Sanjeev Narula	10/08/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)