<SEC-DOCUMENT>0001395064-21-000235.txt : 20211112
<SEC-HEADER>0001395064-21-000235.hdr.sgml : 20211112
<ACCEPTANCE-DATETIME>20211112060302
ACCESSION NUMBER:		0001395064-21-000235
CONFORMED SUBMISSION TYPE:	SC 13D/A
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20211112
DATE AS OF CHANGE:		20211112

SUBJECT COMPANY:	

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Phathom Pharmaceuticals, Inc.
		CENTRAL INDEX KEY:			0001783183
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				824151574
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		SC 13D/A
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	005-91182
		FILM NUMBER:		211398859

	BUSINESS ADDRESS:	
		STREET 1:		100 CAMPUS DRIVE,
		STREET 2:		SUITE 102
		CITY:			FLORHAM PARK
		STATE:			NJ
		ZIP:			07932
		BUSINESS PHONE:		(877) 742-8466

	MAIL ADDRESS:	
		STREET 1:		100 CAMPUS DRIVE,
		STREET 2:		SUITE 102
		CITY:			FLORHAM PARK
		STATE:			NJ
		ZIP:			07932

FILED BY:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			TAKEDA PHARMACEUTICAL CO LTD
		CENTRAL INDEX KEY:			0001395064
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				000000000

	FILING VALUES:
		FORM TYPE:		SC 13D/A

	BUSINESS ADDRESS:	
		STREET 1:		1-1, NIHONBASHI-HONCHO 2-CHOME, CHUO-KU
		CITY:			TOKYO
		STATE:			M0
		ZIP:			103-8668
		BUSINESS PHONE:		81332782111

	MAIL ADDRESS:	
		STREET 1:		1-1, NIHONBASHI-HONCHO 2-CHOME, CHUO-KU
		CITY:			TOKYO
		STATE:			M0
		ZIP:			103-8668
</SEC-HEADER>
<DOCUMENT>
<TYPE>SC 13D/A
<SEQUENCE>1
<FILENAME>sc13da-111221.htm
<DESCRIPTION>SC 13D/A
<TEXT>
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<title>Document</title></head><body><div id="i6c0c95304efa4489a2f522f942fe9ec2_59"></div><div style="min-height:82.36pt;width:100%"><div><font><br></font></div></div><div><font><br></font></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:98.011%"><tr><td style="width:1.0%"></td><td style="width:41.895%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:12.909%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:41.896%"></td><td style="width:0.1%"></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">SECURITIES AND EXCHANGE COMMISSION</font></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">WASHINGTON, DC  20549</font></div><div style="text-align:center"><font><br></font></div></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">SCHEDULE 13D</font></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(Rule 13d-101)</font></div></td></tr><tr style="height:15pt"><td colspan="9" style="padding:0 1pt"></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:3pt;padding-left:2.75pt;padding-right:2.75pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">UNDER THE SECURITIES EXCHANGE ACT OF 1934</font></div><div style="padding-left:2.75pt;padding-right:2.75pt;text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">(Amendment No. 4)</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:6.5pt;font-weight:400;line-height:115%;position:relative;top:-3.5pt;vertical-align:baseline"> 1</font></div></td></tr><tr style="height:15pt"><td colspan="9" style="padding:0 1pt"></td></tr><tr><td colspan="9" style="border-bottom:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Phathom Pharmaceuticals, Inc.</font></td></tr><tr><td colspan="9" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(Name of Issuer)</font></td></tr><tr style="height:15pt"><td colspan="9" style="padding:0 1pt"></td></tr><tr><td colspan="9" style="border-bottom:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Common Stock, $.0001 par value</font></td></tr><tr><td colspan="9" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(Title of Class of Securities)</font></td></tr><tr style="height:15pt"><td colspan="9" style="padding:0 1pt"></td></tr><tr><td colspan="9" style="border-bottom:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">71722W107</font></td></tr><tr><td colspan="9" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(CUSIP Number)</font></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Takeda Pharmaceutical Company Limited</font></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">With a copy to&#58;</font></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">1-1, Nihonbashi-Honcho 2-Chome</font></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Davis Polk &#38; Wardwell LLP</font></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Chuo-ku, Tokyo 103-8668, Japan</font></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">450 Lexington Avenue</font></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Attn&#58; Yoshihiro Nakagawa</font></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">New York, NY 10017</font></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Tel&#58; +81-3-3278-2111</font></td><td colspan="3" style="border-bottom:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Attention&#58; William J. Chudd<br>Tel&#58; (212) 450-4089</font></td></tr><tr><td colspan="9" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(Name, Address and Telephone Number of Person<br>Authorized to Receive Notices and Communications)</font></td></tr><tr style="height:15pt"><td colspan="9" style="padding:0 1pt"></td></tr><tr><td colspan="9" style="padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%;text-decoration:underline">November 9, 2021</font></td></tr><tr style="height:15pt"><td colspan="9" style="padding:0 1pt"></td></tr><tr><td colspan="9" style="border-bottom:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">(Date of Event Which Requires Filing of This Statement)</font></td></tr></table></div><div><font><br></font></div><div style="text-indent:36pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box.    </font><font style="font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:115%"></font></div><div><font><br></font></div><div style="text-indent:36pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:115%">Note</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">.  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  </font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-style:italic;font-weight:400;line-height:115%">See</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%"> Rule 13d-7 for other parties to whom copies are to be sent.</font></div><div><font><br></font></div><div style="text-align:center"><font><br></font></div><div style="border-bottom:1pt solid black;margin-bottom:5pt;margin-top:10pt;width:150pt"></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:7.8pt;font-weight:400;line-height:120%;position:relative;top:-4.2pt;vertical-align:baseline">1</font><font style="color:#000000;font-family:'Arial',sans-serif;font-size:12pt;font-weight:400;line-height:120%"> </font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:120%">The remainder of this cover page shall be filled out for a reporting person's 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.</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:115%">The information required on the remainder of this cover page shall not be deemed to be &#34;filed&#34; for the purpose of Section 18 of the Securities Exchange Act of 1934 (&#34;Act&#34;) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-style:italic;font-weight:400;line-height:115%"> see</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:115%"> the </font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-style:italic;font-weight:400;line-height:115%">Notes</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:115%">).</font></div><div style="height:102.84pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">1</font></div></div></div><div id="i6c0c95304efa4489a2f522f942fe9ec2_80"></div><hr style="page-break-after:always"><div style="min-height:82.36pt;width:100%"><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">CUSIP No.</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%"> </font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">71722W107</font></div></div><div style="padding-left:6pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:5.381%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:13.714%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:5.381%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:33.159%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:36.865%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">1.</font></div></td><td colspan="9" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">NAME OF REPORTING PERSON</font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">S.S. OR I.R.S. IDENTIFICATION NO. (VOLUNTARY)</font></div></td><td colspan="3" style="border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:43.35pt;text-align:right"><font><br></font></div><div style="padding-left:3.35pt;padding-right:43.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">Takeda Pharmaceutical Company Limited</font></div></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">2.</font></div></td><td colspan="9" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP</font></div></td><td colspan="3" style="border-bottom:1pt solid #000000;border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">(a) &#91; &#93;</font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">(b) &#91; &#93;</font></div></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">3.</font></div></td><td colspan="12" style="border-left:1pt solid #000000;border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">SEC USE ONLY</font></div></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">4.</font></div></td><td colspan="9" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">SOURCE OF FUNDS</font></div></td><td colspan="3" style="border-right:0.5pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:37.85pt;text-align:right;text-indent:7.5pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">OO</font></div></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">5.</font></div></td><td colspan="9" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS <br>IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)</font></div></td><td colspan="3" style="border-right:0.5pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#91; &#93;</font></div></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">6.</font></div></td><td colspan="9" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">CITIZENSHIP OR PLACE OF ORGANIZATION</font></div></td><td colspan="3" style="border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:37.85pt;text-align:right"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:37.85pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">Japan</font></div></td></tr><tr style="height:33pt"><td colspan="6" rowspan="4" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-top:0.05pt;padding-right:4.1pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">NUMBER OF SHARES BENEFICIALLY OWNED BY </font></div><div style="padding-right:4.1pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">EACH </font></div><div style="padding-right:4.1pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">REPORTING PERSON</font></div><div style="margin-top:0.25pt;padding-right:23.2pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">WITH</font></div></td><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">7.</font></div></td><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">SOLE VOTING POWER</font></div></td><td colspan="3" style="border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right;text-indent:7.5pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">7,459,304*</font></div></td></tr><tr style="height:33pt"><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">8.</font></div></td><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">SHARED VOTING POWER</font></div></td><td colspan="3" style="border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#160;</font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#160;0</font></div></td></tr><tr style="height:33pt"><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">9.</font></div></td><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">SOLE DISPOSITIVE POWER</font></div></td><td colspan="3" style="border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right;text-indent:7.5pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">7,459,304*</font></div></td></tr><tr style="height:33pt"><td colspan="3" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">10.</font></div></td><td colspan="3" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">SHARED DISPOSITIVE POWER</font></div></td><td colspan="3" style="border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">0  </font></div></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">11.</font></div></td><td colspan="9" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON </font></div></td><td colspan="3" style="border-bottom:1pt solid #000000;border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 4.37pt 2px 1pt;text-align:right;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">7,459,304*</font></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">12.</font></div></td><td colspan="12" style="border-left:1pt solid #000000;border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11)</font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">EXCLUDES CERTAIN SHARES</font></div></td></tr><tr><td colspan="3" style="border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">13.</font></div></td><td colspan="9" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)</font></div></td><td colspan="3" style="border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">19.2%**</font></div></td></tr><tr><td colspan="3" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">14.</font></div></td><td colspan="9" style="border-bottom:1pt solid #000000;border-left:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="padding-left:3.35pt;padding-right:3.35pt"><font><br></font></div><div style="padding-left:3.35pt;padding-right:3.35pt"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">TYPE OF REPORTING PERSON</font></div></td><td colspan="3" style="border-bottom:1pt solid #000000;border-right:1pt solid #000000;border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font><br></font></div><div style="margin-bottom:2.9pt;padding-left:3.35pt;padding-right:3.35pt;text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">CO</font></div></td></tr></table></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">* Includes 7,359,304 shares of common stock issuable upon exercise of a Warrant to purchase Common Stock.</font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">** Based on 31,414,827 shares of Common Stock outstanding as of November 3, 2021, as reported in the Issuer&#8217;s Quarterly Report on Form 10-Q for the quarter ended September 30, 2021, filed with the Securities and Exchange Commission on November 8, 2021, and giving effect to the exercise in full of the Warrant.</font></div><div style="height:102.84pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">2</font></div></div></div><div id="i6c0c95304efa4489a2f522f942fe9ec2_97"></div><hr style="page-break-after:always"><div style="min-height:82.36pt;width:100%"><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">CUSIP No.</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%"> </font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">71722W107</font></div></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:115%">AMENDMENT NO. 4 TO SCHEDULE 13D</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">This Amendment No. 4 (&#8220;Amendment No. 4&#8221;) amends the statement on Schedule 13D (as amended, the &#8220;Schedule 13D&#8221;) filed with the Securities and Exchange Commission (&#8220;SEC&#8221;) by the Reporting Person with respect to the Common Stock of the Issuer on November 6, 2019, and as further amended by Amendment No. 1 filed with the SEC on January 27, 2020, by Amendment No. 2 filed with the SEC on April 1, 2021 and by Amendment No. 3 filed with the SEC on April 6, 2021.</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">The following items of the Schedule 13D are amended as follows&#58;</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:115%">Item 3.&#160;&#160;&#160;&#160;  Source and Amount of Funds or Other Consideration.</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">Item 3 of the Schedule 13D is amended to include the following after the final paragraph&#58; </font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">On November 4, 2021, Takeda exercised the Warrant in part for 228,696 shares pursuant to the net exercise provision. On November 5, 2021, Takeda received 228,695 shares of common stock of the Issuer pursuant to the cashless exercise of the Warrant.</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:115%">Item 5.&#160;&#160;&#160;&#160;  Interest in Securities of the Issuer.</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">Paragraphs (a)-(b) of Item 5 are hereby amended and restated to state that the information requested by these paragraphs is incorporated herein by reference to the cover page to this Amendment No. 4 to Schedule 13D.</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">(c)  On November 9, 2021, the Reporting Person sold an aggregate of 1,000,000 shares of common stock of the Issuer at a price of $20.85 per share pursuant to Rule 144 under the Securities Act of 1933, as amended, for aggregate consideration of $20,850,000. </font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%"> </font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">Except as described herein, there have been no other transactions in the securities of the Issuer effected by any Reporting Person within the last 60 days.</font></div><div><font><br></font></div><div style="margin-bottom:12pt"><font><br></font></div><div style="margin-bottom:12pt"><font><br></font></div><div style="height:102.84pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">3</font></div></div></div><div id="i6c0c95304efa4489a2f522f942fe9ec2_147"></div><hr style="page-break-after:always"><div style="min-height:82.36pt;width:100%"><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">CUSIP No.</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%"> </font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">71722W107</font></div></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:115%">SIGNATURE</font></div><div><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">After reasonable inquiry and to the best of the undersigned&#8217;s knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.</font></div><div style="text-indent:45pt"><font><br></font></div><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">Dated&#58;  November 12, 2021</font></div><div><font><br></font></div><div><font><br></font></div><div style="padding-left:180pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:63.289%"><tr><td style="width:1.0%"></td><td style="width:13.862%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:83.938%"></td><td style="width:0.1%"></td></tr><tr><td colspan="6" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:100%">TAKEDA PHARMACEUTICAL COMPANY LIMITED</font></td></tr><tr style="height:15pt"><td colspan="6" style="padding:0 1pt"><div><font><br></font></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:100%">By</font></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:120%">&#47;s&#47; Amit Singh</font></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:100%">Name&#58;</font></td><td colspan="3" style="border-top:0.25pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:top"><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:120%">Amit Singh</font></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:100%">Title&#58;</font></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:120%">Senior Vice President and Treasurer</font></div></td></tr></table></div><div><font><br></font></div><div><font><br></font></div><div><font><br></font></div><div><font><br></font></div><div style="height:102.84pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:115%">4</font></div></div></div></body></html>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
