Statement of Changes in Beneficial Ownership (4)
2020年2月1日 - 7:15AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Shabbir Anik |
2. Issuer Name and Ticker or Trading Symbol
SUTRO BIOPHARMA, INC.
[
STRO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Technical Ops. Officer |
(Last)
(First)
(Middle)
C/O SUTRO BIOPHARMA, INC, 310 UTAH AVENUE, SUITE 150 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/29/2020 |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy Common Stock) | $10.09 | 1/29/2020 | | A | | 41250 | | (1) | 1/29/2030 | Common Stock | 41250 | $0.00 | 41250 | D | |
Restricted Stock Unit (RSU) | (2) | 1/29/2020 | | A | | 18000 | | (3) | 1/29/2024 | Common Stock | 18000 | $0.00 | 18000 | D | |
Explanation of Responses: |
(1) | The option vests as to 2.0833% of the total shares monthly, beginning on February 29, 2020, with 100% of the total shares vested and exercisable on January 29, 2024, subject to the reporting person's provision of service to the issuer on each vesting date. |
(2) | Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement. |
(3) | The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Shabbir Anik C/O SUTRO BIOPHARMA, INC 310 UTAH AVENUE, SUITE 150 SOUTH SAN FRANCISCO, CA 94080 |
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| Chief Technical Ops. Officer |
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Signatures
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/s/ Edward C. Albini as attorney-in-fact for Shabbir Anik | | 1/31/2020 |
**Signature of Reporting Person | Date |
Sutro Biopharma (NASDAQ:STRO)
過去 株価チャート
から 7 2024 まで 8 2024
Sutro Biopharma (NASDAQ:STRO)
過去 株価チャート
から 8 2023 まで 8 2024