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SUTRO BIOPHARMA, INC. — Director's Dealing 2021
Sep 29, 2021
34319_dirs_2021-09-28_90bfd73e-e23a-49ad-9d6a-89c15c57190b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SUTRO BIOPHARMA, INC. (STRO)
CIK: 0001382101
Period of Report: 2021-09-24
Reporting Person: NEWELL WILLIAM J (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-07-01 | Common Stock | G | 104662 | $0.00 | Disposed | 80687 | Direct |
| 2021-07-01 | Common Stock | G | 104662 | $0.00 | Acquired | 104662 | Indirect |
| 2021-09-24 | Common Stock | M | 25253 | $0.00 | Acquired | 105940 | Direct |
| 2021-09-24 | Common Stock | F | 13219 | $19.23 | Disposed | 92721 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-09-24 | Restricted Stock Unit (RSU) | $ | M | 25253 | Disposed | 2021-09-26 | Common Stock (25253) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 10577 | Indirect |
| Common Stock | 26091 | Indirect |
Footnotes
F1: The securities are held of record by the reporting person as trustee of the William J. Newell Family Trust DTD 03/15/2019.
F2: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.
F3: The securities are held of record by the reporting person as trustee of the Newell Family Revocable Trust DTD 08/14/2008.
F4: The reporting person is the general partner of Taluswood Partners, L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F5: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.
F6: The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.