0001209191-18-052831.txt : 20181001
0001209191-18-052831.hdr.sgml : 20181001
20181001171229
ACCESSION NUMBER: 0001209191-18-052831
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181001
FILED AS OF DATE: 20181001
DATE AS OF CHANGE: 20181001
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Alta Partners VIII, L.P.
CENTRAL INDEX KEY: 0001399763
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38662
FILM NUMBER: 181098395
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-362-4022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Alta Partners Management VIII, LLC
CENTRAL INDEX KEY: 0001399894
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38662
FILM NUMBER: 181098396
BUSINESS ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-362-4022
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER, SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CHAMPSI FARAH
CENTRAL INDEX KEY: 0001198321
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38662
FILM NUMBER: 181098397
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JANNEY DANIEL
CENTRAL INDEX KEY: 0001198325
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38662
FILM NUMBER: 181098398
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NOHRA GUY P
CENTRAL INDEX KEY: 0001198330
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38662
FILM NUMBER: 181098399
MAIL ADDRESS:
STREET 1: ONE EMBARCADERO CENTER SUITE 3700
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SUTRO BIOPHARMA INC
CENTRAL INDEX KEY: 0001382101
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 452441988
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 310 UTAH AVE., SUITE 150
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: 650-392-8412
MAIL ADDRESS:
STREET 1: 310 UTAH AVE., SUITE 150
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-10-01
1
0001382101
SUTRO BIOPHARMA INC
STRO
0001399763
Alta Partners VIII, L.P.
ONE EMBARCADERO CENTER, SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001399894
Alta Partners Management VIII, LLC
ONE EMBARCADERO CENTER, SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001198321
CHAMPSI FARAH
ONE EMBARCADERO CENTER, SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
0001198325
JANNEY DANIEL
ONE EMBARCADERO CENTER, SUITE 3700
SAN FRANCISCO
CA
94111
1
0
1
0
0001198330
NOHRA GUY P
ONE EMBARCADERO CENTER, SUITE 3700
SAN FRANCISCO
CA
94111
0
0
1
0
Common Stock
2018-10-01
4
C
0
589661
A
589661
D
Common Stock
2018-10-01
4
C
0
458331
A
1047992
D
Common Stock
2018-10-01
4
C
0
382698
A
1430690
D
Common Stock
2018-10-01
4
C
0
514211
A
1944901
D
Series B Preferred Stock
2018-10-01
4
C
0
10201769
0.00
D
Common Stock
589661
0
D
Series C Preferred Stock
2018-10-01
4
C
0
12387324
0.00
D
Common Stock
458331
0
D
Series D Preferred Stock
2018-10-01
4
C
0
9449318
0.00
D
Common Stock
382698
0
D
Series E Preferred Stock
2018-10-01
4
C
0
18698578
0.00
D
Common Stock
514211
0
D
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.
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.
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.
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.
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.
/s/ Daniel Janney as Managing Director of Alta Partners Management VIII, LLC, the general partner of Alta Partners VIII, L.P.
2018-10-01
/s/ Daniel Janney as Managing Director of Alta Partners Management VIII, LLC
2018-10-01
/s/ Farah Champsi
2018-10-01
/s/ Daniel Janney
2018-10-01
/s/ Guy Nohra
2018-10-01