SEC Form 4 · accession 0001209191-18-052841

SUTRO BIOPHARMA, INC. · STRO

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

Reporting owner

William J Newell

Officer — CEO & President · Director

Period of report

Oct 1, 2018

Accepted (ET)

Oct 1, 2018 · 5:20 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	Oct 1, 2018	C	2,059	—	A	180,383	D
Common Stock^F2	Oct 1, 2018	C	7,787	—	A	188,170	D
Common Stock^F3,F4	Oct 1, 2018	C	2,890	—	A	21,154	I	By Newell Family Revocable Trust DTD 08/14/2008
Common Stock^F5	holding	—	—		—	26,091	I	By Taluswood Partners, L.P.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series C Preferred Stock^F1	—	Oct 1, 2018	C	55,657	D	—	—	Common Stock	2,059	D
Series D Preferred Stock^F2	—	Oct 1, 2018	C	192,267	D	—	—	Common Stock	7,787	D
Series B Preferred Stock^F4,F3	—	Oct 1, 2018	C	50,000	D	—	—	Common Stock	2,890	I

Explanation of responses

F1Each 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 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.
F2Each 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.
F3Each 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 IPO pursuant to the Registration Statement, and had no expiration date.
F4These securities are held of record by the reporting person as trustee of the Newell Family Revocable Trust DTD 08/14/2008.
F5The reporting person is the general partner of Taluswood Partners, L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.