Home/Filings/4/0001209191-18-052851

4//SEC Filing

SVLSF V, LLC 4

Accession 0001209191-18-052851

CIK 0001382101other

View on SEC.gov Company Profile

Filed

Sep 30, 8:00 PM ET

Accepted

Oct 1, 5:28 PM ET

Size

98.8 KB

Accession

0001209191-18-052851

Insider Transaction Report

Form 4

Period: 2018-09-27

SUTRO BIOPHARMA INCSTRO

SVLSF V, LLC

10% Owner

Transactions

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+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, 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 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
Common Stock
2018-10-01+79,467→ 79,467 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
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 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
Common Stock
2018-10-01+641,440→ 720,907 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
Conversion
Common Stock
2018-10-01+758→ 758 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
Conversion
Common Stock
2018-10-01+1,931→ 8,817 total(indirect: By International Life Sciences Fund III 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
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
2018-10-01−64,815→ 0 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)
→ Common Stock (2,399 underlying)
Conversion
Common Stock
2018-10-01+943→ 943 total(indirect: By International Life Sciences Fund III Co-Investment, 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
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 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
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
2018-10-01−17,533→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
→ Common Stock (758 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 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
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+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+270,690→ 611,720 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)
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 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
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
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)
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+251,783→ 863,503 total(indirect: By SV Life Sciences Fund V, L.P.)
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 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)

INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P.

10% Owner

Transactions

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
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+5,721→ 12,928 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
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
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 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
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+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
Conversion
Common Stock
2018-10-01+5,320→ 18,248 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
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 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 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
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+758→ 758 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+251,783→ 863,503 total(indirect: By SV Life Sciences Fund V, L.P.)
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+341,030→ 341,030 total(indirect: By SV Life Sciences Fund V, L.P.)
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 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
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)
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
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+6,128→ 6,886 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
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 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)
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 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
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 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 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 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 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)

INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P.

10% Owner

Transactions

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.)
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)
Conversion
Common Stock
2018-10-01+641,440→ 720,907 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
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
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+202,115→ 923,022 total(indirect: By International Life Sciences Fund III (LP1), 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+5,721→ 12,928 total(indirect: By SV Life Sciences Fund V Strategic Partners, 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)
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
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 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 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 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 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
Common Stock
2018-10-01+758→ 758 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+1,931→ 8,817 total(indirect: By International Life Sciences Fund III 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)
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 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 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)
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+943→ 943 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)
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)
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
2018-10-01−52,183→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
→ Common Stock (1,931 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 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
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)

INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P.

10% Owner

Transactions

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+251,783→ 863,503 total(indirect: By SV Life Sciences Fund V, 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 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 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
Common Stock
2018-10-01+943→ 943 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)
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
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 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
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+758→ 758 total(indirect: By International Life Sciences Fund III Strategic Partners, 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+1,931→ 8,817 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+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
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
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 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 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)
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+641,440→ 720,907 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
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+270,690→ 611,720 total(indirect: By SV Life Sciences Fund V, L.P.)
Conversion
Common Stock
2018-10-01+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
Conversion
Common Stock
2018-10-01+5,721→ 12,928 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
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)
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 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 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
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)

ILSF III, LLC

10% Owner

Transactions

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+1,931→ 8,817 total(indirect: By International Life Sciences Fund III Strategic Partners, 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.)
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+521,159→ 5,462,550 total(indirect: By International Life Sciences Fund III (LPI) L.P.)
→ Common Stock (19,282 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 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 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)
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+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)
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 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
Common Stock
2018-10-01+641,440→ 720,907 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
Conversion
Common Stock
2018-10-01+270,690→ 611,720 total(indirect: By SV Life Sciences Fund V, L.P.)
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
2018-10-01−194,786→ 0 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
→ Common Stock (7,207 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+79,467→ 79,467 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
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
2018-10-01−106,019→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
→ Common Stock (6,128 underlying)
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+2,399→ 10,952 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)
Conversion
Common Stock
2018-10-01+758→ 758 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+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
Conversion
Common Stock
2018-10-01+202,115→ 923,022 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
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
2018-10-01−52,183→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
→ Common Stock (1,931 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 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
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)
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)

INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P.

10% Owner

Transactions

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+251,783→ 863,503 total(indirect: By SV Life Sciences Fund V, 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
Common Stock
2018-10-01+6,128→ 6,886 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
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 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
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+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
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 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
2018-10-01−106,019→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
→ Common Stock (6,128 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
Common Stock
2018-10-01+270,690→ 611,720 total(indirect: By SV Life Sciences Fund V, L.P.)
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
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+79,467→ 79,467 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
Conversion
Common Stock
2018-10-01+758→ 758 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
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
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+641,440→ 720,907 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
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+341,030→ 341,030 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 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+6,183→ 64,815 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)
→ Common Stock (228 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 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
2018-10-01−52,183→ 0 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
→ Common Stock (1,931 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 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
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+1,931→ 8,817 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
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 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 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)
Conversion
Common Stock
2018-10-01+5,721→ 12,928 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)

SV Life Sciences Fund V (GP), LP

10% Owner

Transactions

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+943→ 943 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+641,440→ 720,907 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.)
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 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
2018-10-01−11,097,596→ 0 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
→ Common Stock (641,440 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 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
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
Common Stock
2018-10-01+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, 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)
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 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)
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 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 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 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 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+341,030→ 341,030 total(indirect: By SV Life Sciences Fund V, L.P.)
Conversion
Common Stock
2018-10-01+79,467→ 79,467 total(indirect: By International Life Sciences Fund III (LP1), 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
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)
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+6,128→ 6,886 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
Conversion
Common Stock
2018-10-01+251,783→ 863,503 total(indirect: By SV Life Sciences Fund V, 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)
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 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
Common Stock
2018-10-01+758→ 758 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.)
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)

SV LIFE SCIENCES FUND V LP

10% 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+270,690→ 611,720 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+5,320→ 18,248 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)
Exercise/Conversion
Series C Preferred Stock Warrant (right to buy)
2018-09-27−521,159→ 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
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
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 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 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
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
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)
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+341,030→ 341,030 total(indirect: By SV Life Sciences Fund V, L.P.)
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 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 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 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+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+641,440→ 720,907 total(indirect: By International Life Sciences Fund III (LP1), 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+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)
2018-09-27−4,978→ 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 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 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 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 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 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 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
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+758→ 758 total(indirect: By International Life Sciences Fund III Strategic Partners, 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+6,128→ 6,886 total(indirect: By International Life Sciences Fund III Strategic Partners, L.P.)
Conversion
Common Stock
2018-10-01+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, L.P.)

SV Life Sciences Fund V Strategic Partners, L.P.

10% Owner

Transactions

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 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
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)
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+7,610→ 8,553 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)
Conversion
Common Stock
2018-10-01+758→ 758 total(indirect: By International Life Sciences Fund III Strategic Partners, 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.)
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
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+641,440→ 720,907 total(indirect: By International Life Sciences Fund III (LP1), L.P.)
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+270,690→ 611,720 total(indirect: By SV Life Sciences Fund V, L.P.)
Conversion
Common Stock
2018-10-01+7,207→ 7,207 total(indirect: By SV Life Sciences Fund V Strategic Partners, 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 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
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+1,931→ 8,817 total(indirect: By International Life Sciences Fund III 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)
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
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+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)
2018-09-27−521,159→ 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
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
2018-10-01−64,815→ 0 total(indirect: By International Life Sciences Fund III Co-Investment, L.P.)
→ Common Stock (2,399 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 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 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
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 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 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
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)

Footnotes (10)

[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 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.
[F10]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.
[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 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 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.
[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]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.
[F9]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.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

SUTRO BIOPHARMA INC

CIK 0001382101

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001644160

Filing Metadata

Form type: 4
Filed: Sep 30, 8:00 PM ET
Accepted: Oct 1, 5:28 PM ET
Size: 98.8 KB

View on SEC.gov