0001209191-20-052246.txt : 20200928 0001209191-20-052246.hdr.sgml : 20200928 20200928175521 ACCESSION NUMBER: 0001209191-20-052246 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200925 FILED AS OF DATE: 20200928 DATE AS OF CHANGE: 20200928 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hallam Trevor CENTRAL INDEX KEY: 0001326592 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 201205489 MAIL ADDRESS: STREET 1: PALATIN TECHNOLOGIES, INC. STREET 2: 4C CEDAR BROOK DRIVE CITY: CRANBURY STATE: NJ ZIP: 08512 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 FORMER COMPANY: FORMER CONFORMED NAME: SUTRO BIOPHARMA INC DATE OF NAME CHANGE: 20061127 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-09-25 0 0001382101 SUTRO BIOPHARMA, INC. STRO 0001326592 Hallam Trevor C/O SUTRO BIOPHARMA, INC. 310 UTAH AVENUE, SUITE 150 SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Chief Scientific Officer Common Stock 2020-09-25 4 M 0 11019 0.00 A 27809 D Common Stock 2020-09-25 4 F 0 3810 10.30 D 23999 D Common Stock 2020-09-25 4 M 0 6887 0.00 A 30886 D Common Stock 2020-09-25 4 F 0 2381 10.30 D 28505 D Common Stock 2020-09-28 4 S 0 975 10.2633 D 27530 D Restricted Stock Unit (RSU) 2020-09-25 4 M 0 11019 0.00 D 2021-09-26 Common Stock 11019 11019 D Restricted Stock Unit (RSU) 2020-09-25 4 M 0 6887 0.00 D 2020-09-26 Common Stock 6887 0 D 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 sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the holder. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.16 to $10.41 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement. 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. The RSUs vest as to 1/2 of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date. /s/ Edward C. Albini as attorney-in-fact for Trevor Hallam 2020-09-28