4//SEC Filing
Alta Partners VIII, L.P. 4
Accession 0001209191-18-052831
CIK 0001382101other
Filed
Sep 30, 8:00 PM ET
Accepted
Oct 1, 5:12 PM ET
Size
26.2 KB
Accession
0001209191-18-052831
Insider Transaction Report
Form 4
JANNEY DANIEL
Director10% Owner
Transactions
- Conversion
Common Stock
2018-10-01+382,698→ 1,430,690 total - Conversion
Common Stock
2018-10-01+589,661→ 589,661 total - Conversion
Series E Preferred Stock
2018-10-01−18,698,578→ 0 total→ Common Stock (514,211 underlying) - Conversion
Series D Preferred Stock
2018-10-01−9,449,318→ 0 total→ Common Stock (382,698 underlying) - Conversion
Series B Preferred Stock
2018-10-01−10,201,769→ 0 total→ Common Stock (589,661 underlying) - 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)
NOHRA GUY P
10% Owner
Transactions
- Conversion
Common Stock
2018-10-01+458,331→ 1,047,992 total - Conversion
Common Stock
2018-10-01+589,661→ 589,661 total - Conversion
Common Stock
2018-10-01+514,211→ 1,944,901 total - Conversion
Series E Preferred Stock
2018-10-01−18,698,578→ 0 total→ Common Stock (514,211 underlying) - Conversion
Common Stock
2018-10-01+382,698→ 1,430,690 total - Conversion
Series C Preferred Stock
2018-10-01−12,387,324→ 0 total→ Common Stock (458,331 underlying) - Conversion
Series B Preferred Stock
2018-10-01−10,201,769→ 0 total→ Common Stock (589,661 underlying) - Conversion
Series D Preferred Stock
2018-10-01−9,449,318→ 0 total→ Common Stock (382,698 underlying)
Alta Partners Management VIII, LLC
10% Owner
Transactions
- Conversion
Series E Preferred Stock
2018-10-01−18,698,578→ 0 total→ Common Stock (514,211 underlying) - Conversion
Common Stock
2018-10-01+458,331→ 1,047,992 total - Conversion
Common Stock
2018-10-01+589,661→ 589,661 total - Conversion
Common Stock
2018-10-01+382,698→ 1,430,690 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 B Preferred Stock
2018-10-01−10,201,769→ 0 total→ Common Stock (589,661 underlying)
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
CHAMPSI FARAH
10% Owner
Transactions
- Conversion
Series E Preferred Stock
2018-10-01−18,698,578→ 0 total→ Common Stock (514,211 underlying) - 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
Common Stock
2018-10-01+382,698→ 1,430,690 total - 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
Series D Preferred Stock
2018-10-01−9,449,318→ 0 total→ Common Stock (382,698 underlying)
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.
Documents
Issuer
SUTRO BIOPHARMA INC
CIK 0001382101
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001399763
Filing Metadata
- Form type
- 4
- Filed
- Sep 30, 8:00 PM ET
- Accepted
- Oct 1, 5:12 PM ET
- Size
- 26.2 KB