- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2018-10-01 17:22:13
- Reporting Period:
- Accepted Time:
- 2018-10-01 17:22:13
- SEC Url:
- Form 4 Filing
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1294939||H Daniel Petree||C/o Sutro Biopharma, Inc. |
310 Utah Avenue, Suite 150
South San Francisco CA 94080
|Sec. Name||Acquisiton - Disposition||Date||Amount||Price||Remaning Holdings||Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|Common Stock||Acquisiton||2018-10-01||314||$5.81||314||No||4||M||Indirect||Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997|
|Common Stock||Disposition||2018-10-01||122||$15.00||192||No||4||S||Indirect||Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|No||4||M||Indirect||Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997|
|No||4||S||Indirect||Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997|
|Sec. Name||Sec. Type||Acquisiton - Disposition||Date||Amount||Price||Amount - 2||Price - 2|
|Common Stock||Common Stock Warrant (right to buy)||Disposition||2018-10-01||314||$0.00||314||$5.81|
|Remaning Holdings||Exercise Date||Expiration Date||Equity Swap Involved||Transaction Form Type||Transaction Code||Nature of Ownership|
- These securities are held of record by the reporting person and his spouse as trustees of the Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997.
- On October 1, 2018, the reporting person exercised a warrant to purchase 314 shares of issuer's common stock for $5.81 per share. The reporting person paid the exercise price on a cashless basis, resulting in the issuer withholding 122 of the shares to pay the exercise price and issuing to the reporting person the remaining 192 shares.
- 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 common stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price.
- 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.