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Filing Details

Accession Number:
0001209191-18-052843
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-10-01 17:22:13
Reporting Period:
2018-10-01
Accepted Time:
2018-10-01 17:22:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1382101 Sutro Biopharma Inc STRO () 4
Insiders
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
Yes No No No
Reported Non-Derivative Transactions
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
Reported Derivative Transactions
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
0 No 4 M Direct
Footnotes
  1. 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.
  2. 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.
  3. 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.
  4. 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.