0001209191-23-016809.txt : 20230307
0001209191-23-016809.hdr.sgml : 20230307
20230307165656
ACCESSION NUMBER: 0001209191-23-016809
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230303
FILED AS OF DATE: 20230307
DATE AS OF CHANGE: 20230307
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NEWELL WILLIAM J
CENTRAL INDEX KEY: 0001309660
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38662
FILM NUMBER: 23713375
MAIL ADDRESS:
STREET 1: 887 GREAT NORTHERN WAY
CITY: VANCOUVER
STATE: A1
ZIP: V5T 4T5
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: 111 OYSTER POINT BLVD.
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: 650-392-8412
MAIL ADDRESS:
STREET 1: 111 OYSTER POINT BLVD.
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
FORMER COMPANY:
FORMER CONFORMED NAME: SUTRO BIOPHARMA INC
DATE OF NAME CHANGE: 20061127
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2023-03-03
0
0001382101
SUTRO BIOPHARMA, INC.
STRO
0001309660
NEWELL WILLIAM J
C/O SUTRO BIOPHARMA, INC.
111 OYSTER POINT BLVD.
SOUTH SAN FRANCISCO
CA
94080
1
1
0
0
CEO
Common Stock
2023-03-03
4
M
0
31125
A
163312
D
Common Stock
2023-03-03
4
M
0
18750
A
182062
D
Common Stock
2023-03-03
4
F
0
17246
5.79
D
164816
D
Common Stock
116525
I
By William J. Newell Family Trust DTD 03/15/2019
Stock Option (right to buy Common Stock)
5.79
2023-03-03
4
A
0
125000
0.00
A
2033-02-28
Common Stock
125000
125000
D
Restricted Stock Unit (RSU)
2023-03-03
4
A
0
95000
0.00
A
2027-03-01
Common Stock
95000
95000
D
Restricted Stock Unit (RSU)
2023-03-03
4
M
0
31125
0.00
D
2026-03-04
Common Stock
31125
93375
D
Restricted Stock Unit (RSU)
2023-03-03
4
M
0
18750
0.00
D
2025-03-05
Common Stock
18750
37500
D
Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.
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.
The securities are held of record by the reporting person as trustee of the William J. Newell Family Trust DTD 03/15/2019.
The option vests as to 2.0833% of the total shares monthly, beginning on April 1, 2023, with 100% of the total shares vested and exercisable on March 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.
The RSUs vest as to 1/4th of the total shares annually beginning on March 1, 2024, subject to continued service through each vesting date.
The RSUs vest as to 1/4th of the total shares annually beginning on March 4, 2023, subject to continued service through each vesting date.
The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to continued service through each vesting date.
/s/ Edward C. Albini as attorney-in-fact for William J. Newell
2023-03-07