SEC Form 4 · accession 0001209191-18-052843

SUTRO BIOPHARMA, INC. · STRO

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

Reporting owner

Director

Period of report

Oct 1, 2018

Accepted (ET)

Oct 1, 2018 · 5:22 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	M	314	$5.81	A	314	I	Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997
Common Stock^F1	Oct 1, 2018	S	122	$15.00	D	192	I	Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock Warrant (right to buy)^F3,F4	$5.81	Oct 1, 2018	M	314	D	—	—	Common Stock	314	0	D

F1These securities are held of record by the reporting person and his spouse as trustees of the Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997.
F2On October 1, 2018, the reporting person exercised a warrant to purchase 314 shares of issuer's common stock for $5.81 per share. The reporting person paid the exercise price on a cashless basis, resulting in the issuer withholding 122 of the shares to pay the exercise price and issuing to the reporting person the remaining 192 shares.
F3The warrant has a net exercise provision under which the holder, in lieu of paying the exercise price in cash, can surrender the warrant and receive a net number of shares of common stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price.
F4The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.