SEC Form 4 · accession 0001104659-18-059933

SUTRO BIOPHARMA, INC. · STRO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

Period of report

Oct 1, 2018

Accepted (ET)

Oct 2, 2018 · 2:31 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001382101

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Oct 1, 2018	C	2,056,843	—	A	2,056,843	I	See Footnote
Common Stock^F2	Oct 1, 2018	P	666,666	$15.00	A	2,723,509	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series E Redeemable Convertible Preferred Stock^F2,F1	—	Oct 1, 2018	C	74,794,315	D	—	—	Common Stock	2,056,843	0	I

F1Each share of Series E redeemable convertible preferred stock (the "Series E Preferred") automatically converted into 0.0275 shares of the Issuer's common stock upon the closing of the Issuer's sale of its common stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended. The Series E Preferred had no expiration date.
F2These securities are owned directly by Merck Sharp & Dohme Corp., which is a direct, wholly owned subsidiary of Merck & Co., Inc. ("Merck"). Merck is an indirect beneficial owner of the reported securities.