0001209191-23-016751.txt : 20230307 0001209191-23-016751.hdr.sgml : 20230307 20230307163015 ACCESSION NUMBER: 0001209191-23-016751 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: Hallam Trevor CENTRAL INDEX KEY: 0001326592 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 23713008 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: 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 0001326592 Hallam Trevor C/O SUTRO BIOPHARMA, INC. 111 OYSTER POINT BLVD. SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Pres. Rsrch & Cf. Sctific Ofcr Common Stock 2023-03-03 4 M 0 9750 A 93131 D Common Stock 2023-03-03 4 M 0 12500 A 105631 D Common Stock 2023-03-03 4 F 0 7717 5.79 D 97914 D Stock Option (right to buy Common Stock) 5.79 2023-03-03 4 A 0 50000 0.00 A 2033-02-28 Common Stock 50000 50000 D Restricted Stock Unit (RSU) 2023-03-03 4 A 0 40000 0.00 A 2027-03-01 Common Stock 40000 40000 D Restricted Stock Unit (RSU) 2023-03-03 4 M 0 9750 0.00 D 2026-03-04 Common Stock 9750 29250 D Restricted Stock Unit (RSU) 2023-03-03 4 M 0 12500 0.00 D 2025-03-05 Common Stock 12500 25000 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 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 Trevor Hallam 2023-03-07