SEC Form 4 · accession 0001209191-18-052482
SUTRO BIOPHARMA, INC. · STRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Trevor Hallam
Officer — Chief Science Officer
Period of report
Sep 26, 2018
Accepted (ET)
Sep 27, 2018 · 5:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001382101
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy Common Stock)F1 | $15.00 | Sep 26, 2018 | A | 198,347 | A | — | Sep 25, 2028 | Common Stock | 198,347 | 198,347 | D |
| Restricted Stock Unit (RSU)F2,F3 | — | Sep 26, 2018 | A | 33,057 | A | — | Sep 25, 2021 | Common Stock | 33,057 | 33,057 | D |
| Restricted Stock Unit (RSU)F2,F4 | — | Sep 26, 2018 | A | 13,774 | A | — | Sep 25, 2020 | Common Stock | 13,774 | 13,774 | D |
Explanation of responses
- F1The option vests as to 2.0833% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.
- F2Each RSU represents a contingent right to receive 1 share of the issuer's Common Stock upon settlement.
- F3The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.
- F4The RSUs vest as to 1/2 of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.