4//SEC Filing
Ross Michael Jay 4
Accession 0001209191-18-052848
CIK 0001382101other
Filed
Sep 30, 8:00 PM ET
Accepted
Oct 1, 5:26 PM ET
Size
83.1 KB
Accession
0001209191-18-052848
Insider Transaction Report
Form 4
ROSS MICHAEL JAY
Director10% Owner
Transactions
- Conversion
Common Stock
2018-10-01+943→ 943 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.) - Conversion
Common Stock
2018-10-01+641,440→ 720,907 total(indirect: By International Life Sciences Fund III (LP1), L.P.) - Conversion
Series C Preferred Stock
2018-10-01−64,815→ 0 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)→ Common Stock (2,399 underlying) - Conversion
Series A Preferred Stock
2018-10-01−17,533→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)→ Common Stock (758 underlying) - Conversion
Series C Preferred Stock
2018-10-01−9,217,015→ 0 total(indirect: By SV Life Sciences Fund V, L.P.)→ Common Stock (341,030 underlying) - Conversion
Series E Preferred Stock
2018-10-01−9,155,794→ 0 total(indirect: By SV Life Sciences Fund V, L.P.)→ Common Stock (251,783 underlying) - Conversion
Common Stock
2018-10-01+758→ 758 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.) - Conversion
Series C Preferred Stock
2018-10-01−194,786→ 0 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)→ Common Stock (7,207 underlying) - Conversion
Series E Preferred Stock
2018-10-01−193,492→ 0 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)→ Common Stock (5,320 underlying) - Conversion
Common Stock
2018-10-01+202,115→ 923,022 total(indirect: By International Life Sciences Fund III (LP1), L.P.) - Conversion
Common Stock
2018-10-01+1,931→ 8,817 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.) - Conversion
Common Stock
2018-10-01+270,690→ 611,720 total(indirect: By SV Life Sciences Fund V, L.P.) - Conversion
Common Stock
2018-10-01+5,320→ 18,248 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.) - Exercise/Conversion
Series C Preferred Stock
2018-09-27+6,183→ 64,815 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)→ Common Stock (228 underlying) - Exercise/Conversion
Series C Preferred Stock Warrant (right to buy)
2018-09-27−521,159→ 451,869 total(indirect: By International Life Sciences Fund III (LPI) L.P.)Exercise: $0.48→ Series C Preferred Stock (521,159 underlying) - Exercise/Conversion
Series C Preferred Stock Warrant (right to buy)
2018-09-27−4,978→ 4,315 total(indirect: By International Life Sciences Fund III Strategic Partners L.P.)Exercise: $0.48→ Series C Preferred Stock (4,978 underlying) - Conversion
Series A Preferred Stock
2018-10-01−21,776→ 0 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)→ Common Stock (943 underlying) - Conversion
Series B Preferred Stock
2018-10-01−131,683→ 0 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)→ Common Stock (7,610 underlying) - Conversion
Series A Preferred Stock
2018-10-01−1,835,270→ 0 total(indirect: By International Life Sciences Fund III (LP1), L.P.)→ Common Stock (79,467 underlying) - Conversion
Series B Preferred Stock
2018-10-01−11,097,596→ 0 total(indirect: By International Life Sciences Fund III (LP1), L.P.)→ Common Stock (641,440 underlying) - Conversion
Series C Preferred Stock
2018-10-01−52,183→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)→ Common Stock (1,931 underlying) - Conversion
Common Stock
2018-10-01+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.) - Exercise/Conversion
Series C Preferred Stock
2018-09-27+521,159→ 5,462,550 total(indirect: By International Life Sciences Fund III (LPI) L.P.)→ Common Stock (19,282 underlying) - Conversion
Common Stock
2018-10-01+7,610→ 8,553 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.) - Conversion
Common Stock
2018-10-01+2,399→ 10,952 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.) - Conversion
Common Stock
2018-10-01+79,467→ 79,467 total(indirect: By International Life Sciences Fund III (LP1), L.P.) - Conversion
Common Stock
2018-10-01+6,128→ 6,886 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.) - Conversion
Common Stock
2018-10-01+341,030→ 341,030 total(indirect: By SV Life Sciences Fund V, L.P.) - Conversion
Common Stock
2018-10-01+251,783→ 863,503 total(indirect: By SV Life Sciences Fund V, L.P.) - Conversion
Common Stock
2018-10-01+5,721→ 12,928 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.) - Exercise/Conversion
Series C Preferred Stock Warrant (right to buy)
2018-09-27−6,183→ 5,361 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)Exercise: $0.48→ Series C Preferred Stock (6,183 underlying) - Exercise/Conversion
Series C Preferred Stock
2018-09-27+4,978→ 52,183 total(indirect: By International Life Sciences Fund III Strategic Partners L.P.)→ Common Stock (184 underlying) - Conversion
Series C Preferred Stock
2018-10-01−5,462,550→ 0 total(indirect: By International Life Sciences Fund III (LP1), L.P.)→ Common Stock (202,115 underlying) - Conversion
Series B Preferred Stock
2018-10-01−106,019→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)→ Common Stock (6,128 underlying) - Conversion
Series D Preferred Stock
2018-10-01−6,683,697→ 0 total(indirect: By SV Life Sciences Fund V, L.P.)→ Common Stock (270,690 underlying) - Conversion
Series D Preferred Stock
2018-10-01−141,249→ 0 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)→ Common Stock (5,721 underlying)
Footnotes (9)
- [F1]Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 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 initial public offering ("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]These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. 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.
- [F3]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 IPO pursuant to the Registration Statement, and had no expiration date.
- [F4]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.
- [F5]These securities are held of record by each of SV Life Sciences Fund V, L.P. and SV Life Sciences Fund V Strategic Partners, L.P., as applicable (together, the "SVLSF Funds"). SVLSF V, LLC ("SVLSF LLC") is the general partner of SV Life Sciences Fund V (GP), L.P., which is the general partner of each of the SVLSF Funds. The reporting person, a member of the issuer's board of directors, is a member of SVLSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the SVLSF Funds. 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.
- [F6]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.
- [F7]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.
- [F8]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.
- [F9]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.
Documents
Issuer
SUTRO BIOPHARMA INC
CIK 0001382101
Entity typeother
Related Parties
1- filerCIK 0001254452
Filing Metadata
- Form type
- 4
- Filed
- Sep 30, 8:00 PM ET
- Accepted
- Oct 1, 5:26 PM ET
- Size
- 83.1 KB