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3//SEC Filing

SVLSF V, LLC 3

Accession 0001209191-18-052351

CIK 0001382101other
View on SEC.govCompany Profile

Filed

Sep 25, 8:00 PM ET

Accepted

Sep 26, 6:33 PM ET

Size

44.3 KB

Accession

0001209191-18-052351

Insider Transaction Report

Form 3
Period: 2018-09-26
SUTRO BIOPHARMA INCSTRO
SVLSF V, LLC
10% Owner
Holdings

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)
ILSF III, LLC
10% Owner
Holdings

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)
INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P.
10% Owner
Holdings

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)
INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P.
10% Owner
Holdings

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)
INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P.
10% Owner
Holdings

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)
SV LIFE SCIENCES FUND V LP
10% Owner
Holdings

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)
INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P.
10% Owner
Holdings

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)
SV Life Sciences Fund V (GP), LP
10% Owner
Holdings

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)
SV Life Sciences Fund V Strategic Partners, L.P.
10% Owner
Holdings

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (58,632 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (11,544 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (4,941,391 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    Exercise: $0.48→ Series C Preferred Stock (973,028 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (194,786 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (131,683 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (1,835,270 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (17,533 underlying)

  • Series C Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (47,205 underlying)

  • Series C Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,217,015 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (9,155,794 underlying)

  • Series A Preferred Stock

    (indirect: By International Life Sciences Fund III Co-Investment, L.P.)
    → Common Stock (21,776 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    → Common Stock (106,019 underlying)

  • Series C Preferred Stock Warrant (right to buy)

    (indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
    Exercise: $0.48→ Series C Preferred Stock (9,293 underlying)

  • Series E Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (193,492 underlying)

  • Series B Preferred Stock

    (indirect: By International Life Sciences Fund III (LP1), L.P.)
    → Common Stock (11,097,596 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V, L.P.)
    → Common Stock (6,683,697 underlying)

  • Series D Preferred Stock

    (indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
    → Common Stock (141,249 underlying)
Footnotes (10)
  • [F1]Each share of the issuer's Series A Preferred Stock will automatically convert into 0.0433 share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering ("IPO") and has no expiration date.
  • [F10]These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
  • [F2]International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein.
  • [F3]Each share of the issuer's Series B Preferred Stock will automatically convert into 0.0578 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.
  • [F4]Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.
  • [F5]The 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.
  • [F6]The 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 preferred stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price.
  • [F7]These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
  • [F8]Each share of the issuer's Series D Preferred Stock will automatically convert into 0.0405 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.
  • [F9]Each share of the issuer's Series E Preferred Stock will automatically convert into 0.0275 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

Documents

1 file

Issuer

SUTRO BIOPHARMA INC

CIK 0001382101

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Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001644160

Filing Metadata

Form type
3
Filed
Sep 25, 8:00 PM ET
Accepted
Sep 26, 6:33 PM ET
Size
44.3 KB
View on SEC.gov