Alta Partners VIII, L.P. 4
4 · SUTRO BIOPHARMA INC · Filed Oct 1, 2018
Insider Transaction Report
Form 4
Alta Partners VIII, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2018-10-01+458,331→ 1,047,992 total - Conversion
Common Stock
2018-10-01+514,211→ 1,944,901 total - Conversion
Series C Preferred Stock
2018-10-01−12,387,324→ 0 total→ Common Stock (458,331 underlying) - Conversion
Series D Preferred Stock
2018-10-01−9,449,318→ 0 total→ Common Stock (382,698 underlying) - Conversion
Series E Preferred Stock
2018-10-01−18,698,578→ 0 total→ Common Stock (514,211 underlying) - Conversion
Common Stock
2018-10-01+589,661→ 589,661 total - Conversion
Series B Preferred Stock
2018-10-01−10,201,769→ 0 total→ Common Stock (589,661 underlying) - Conversion
Common Stock
2018-10-01+382,698→ 1,430,690 total
Footnotes (5)
- [F1]Each 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 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.
- [F2]The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein.
- [F3]Each 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 IPO pursuant to the Registration Statement, and had no expiration date.
- [F4]Each 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.
- [F5]Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 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.