SEC Form 4 · accession 0001209191-18-052833

SUTRO BIOPHARMA, INC. · STRO

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

Reporting owner

Officer — Chief People & Comm. Officer

Period of report

Oct 1, 2018

Accepted (ET)

Oct 1, 2018 · 5:13 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	4,914	—	A	4,914	I	By Michael A. & Linda A. Fitzpatrick Family Trust dated 10/13/1997
Common Stock^F3,F2	Oct 1, 2018	C	3,501	—	A	8,415	I	By Michael A. & Linda A. Fitzpatrick Family Trust dated 10/13/1997
Common Stock^F4,F2	Oct 1, 2018	C	1,968	—	A	10,383	I	By Michael A. & Linda A. Fitzpatrick Family Trust dated 10/13/1997

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Preferred Stock^F2,F1	—	Oct 1, 2018	C	85,015	D	—	—	Common Stock	4,914	I
Series C Preferred Stock^F2,F3	—	Oct 1, 2018	C	94,633	D	—	—	Common Stock	3,501	I
Series D Preferred Stock^F2,F4	—	Oct 1, 2018	C	48,595	D	—	—	Common Stock	1,968	I

F1Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.
F2These securities are held of record by Michael A. Fitzpatrick and Linda A. Fitzpatrick, Trustees of the Michael A. & Linda A. Fitzpatrick Family Trust dated 10/13/1997.
F3Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
F4Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.