Merck & Co., Inc. — Director's Dealing 2018

Sep 26, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: SUTRO BIOPHARMA INC (STRO)
CIK: 0001382101
Period of Report: 2018-09-26

Reporting Person: Merck & Co., Inc. (10% Owner)
Reporting Person: Merck Sharp & Dohme Corp. (10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series E Redeemable Convertible Preferred Stock	$		Common Stock (2056843)		Indirect

Footnotes

F1: At any time at the holder's election, each share of the Issuer's Series E redeemable convertible preferred stock (the "Series E Preferred") is convertible into 0.0275 shares of the Issuer's common stock without payment or consideration. Upon the closing of the Issuer's sale of its common stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended, each share of the Series E Preferred will automatically convert into 0.0275 shares of the Issuer's common stock without payment or consideration. The Series E Preferred has no expiration date. The number of underlying shares of common stock reported in Column 3 reflects a 36.3-for-1 reverse stock split that became effective on September 14, 2018.

F2: These securities are owned directly by Merck Sharp & Dohme Corp., which is a direct, wholly owned subsidiary of Merck & Co., Inc. ("Merck"). Merck is an indirect beneficial owner of the reported securities.