SEC Form 4 · accession 0001415889-18-001458
SUTRO BIOPHARMA, INC. · STRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CELGENE CORP
10% Owner
Period of report
Oct 1, 2018
Accepted (ET)
Oct 2, 2018 · 4:10 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,F2,F3,F4 | Oct 1, 2018 | C | 1,726,197 | — | A | 1,726,197 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C-2 Redeemable Convertible Preferred StockF1 | — | Oct 1, 2018 | C | 8,338,892 | D | — | — | Common Stock | 337,725 | 0 | D |
| Series D Redeemable Convertible Preferred StockF2 | — | Oct 1, 2018 | C | 2,845,114 | D | — | — | Common Stock | 115,227 | 0 | D |
| Series D-2 Redeemable Convertible Preferred StockF3 | — | Oct 1, 2018 | C | 18,097,331 | D | — | — | Common Stock | 758,278 | 0 | D |
| Series E Redeemable Convertible Preferred StockF4 | — | Oct 1, 2018 | C | 18,726,075 | D | — | — | Common Stock | 514,967 | 0 | D |
Explanation of responses
- F1Upon closing of the Issuer's initial public offering, each share of Series C-2 redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.
- F2Upon closing of the Issuer's initial public offering, each share of Series D redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.
- F3Upon closing of the Issuer's initial public offering, each share of Series D-2 redeemable convertible preferred stock automatically converted into 0.0419 share of Common Stock without payment of further consideration. The shares had no expiration date.
- F4Upon closing of the Issuer's initial public offering, each share of Series E redeemable convertible preferred stock automatically converted into 0.0275 share of Common Stock without payment of further consideration. The shares had no expiration date.