SEC Form 4 · accession 0001209191-18-052837
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
Oct 1, 2018
Accepted (ET)
Oct 1, 2018 · 5:16 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 StockF1 | Oct 1, 2018 | C | 2,026 | — | A | 15,800 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series D Preferred StockF1 | — | Oct 1, 2018 | C | 50,033 | D | — | — | Common Stock | 2,026 | 0 | D |
Explanation of responses
- F1Each 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 firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended, and had no expiration date.