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SUTRO BIOPHARMA, INC. — Director's Dealing 2021
Aug 11, 2021
34319_dirs_2021-08-11_07dc54cc-d3ad-4a73-b2f0-d9da127543c0.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: SUTRO BIOPHARMA, INC. (STRO)
CIK: 0001382101
Period of Report: 2021-08-09
Reporting Person: Vasquez Nicki (Chief Port. Strat & Alnce Ofcr)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7270 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $11.98 | 2025-05-20 | Common Stock (27834) | Direct | |
| Stock Option (right to buy) | $11.98 | 2025-09-27 | Common Stock (4854) | Direct | |
| Stock Option (right to buy) | $15.00 | 2028-09-25 | Common Stock (107438) | Direct | |
| Stock Option (right to buy) | $10.45 | 2029-01-28 | Common Stock (15625) | Direct | |
| Stock Option (right to buy) | $10.09 | 2030-01-28 | Common Stock (30000) | Direct | |
| Stock Option (right to buy) | $21.11 | 2031-03-04 | Common Stock (45000) | Direct | |
| Stock Option (right to buy) | $18.12 | 2031-07-11 | Common Stock (12500) | Direct | |
| Restricted Stock Unit (RSU) | $ | 2022-09-26 | Common Stock (5969) | Direct | |
| Restricted Stock Unit (RSU) | $ | 2024-01-29 | Common Stock (7500) | Direct | |
| Restricted Stock Unit (RSU) | $ | 2025-03-05 | Common Stock (22000) | Direct | |
| Restricted Stock Unit (RSU) | $ | 2025-07-12 | Common Stock (13000) | Direct |
Footnotes
F1: The option is fully vested and exercisable.
F2: The option vests as to 2.0833% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.
F3: The option vests as to 2.0833% of the total shares monthly, beginning on February 28, 2019, with 100% of the total shares vested and exercisable on January 29, 2023, subject to the reporting person's provision of service to the issuer on each vesting date.
F4: 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.
F5: The option vests as to 2.0833% of the total shares monthly, beginning on April 5, 2021, with 100% of the total shares vested and exercisable on March 5, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.
F6: The option vests as to 2.0833% of the total shares monthly, beginning on August 12, 2021, with 100% of the total shares vested and exercisable on July 12, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.
F7: The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to the reporting person's provision of service to the issuer on each vesting date.
F8: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.
F9: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.
F10: The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.
F11: The RSUs vest as to 1/4th of the total shares annually beginning on July 12, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.