SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Apple Tree Partners IV, L.P.

(Last) (First) (Middle)
C/O STOKE THERAPEUTICS, INC.
45 WIGGINS AVENUE

(Street)
BEDFORD MA 01730

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Stoke Therapeutics, Inc. [ STOK ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
06/21/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/21/2019 C(1) 4,980,168 A $0(1) 4,980,168 D(2)
Common Stock 06/21/2019 C(1) 7,617,746 A $0(1) 12,597,914 D(2)
Common Stock 06/21/2019 C(1) 2,799,910 A $0(1) 15,397,824 D(2)
Common Stock 06/21/2019 P 1,388,889 A $18 16,786,713 D(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Convertible Preferred Stock (1) 06/21/2019 C(1) 4,980,168 (1) (1) Common Stock 4,980,168 $0 0 D(2)
Series A-2 Convertible Preferred Stock (1) 06/21/2019 C(1) 7,617,746 (1) (1) Common Stock 7,617,746 $0 0 D(2)
Series B Convertible Preferred Stock (1) 06/21/2019 C(1) 2,799,910 (1) (1) Common Stock 2,799,910 $0 0 D(2)
1. Name and Address of Reporting Person*
Apple Tree Partners IV, L.P.

(Last) (First) (Middle)
C/O STOKE THERAPEUTICS, INC.
45 WIGGINS AVENUE

(Street)
BEDFORD MA 01730

(City) (State) (Zip)
1. Name and Address of Reporting Person*
ATP III GP, Ltd.

(Last) (First) (Middle)
C/O STOKE THERAPEUTICS, INC.
45 WIGGINS AVENUE

(Street)
BEDFORD MA 01730

(City) (State) (Zip)
Explanation of Responses:
1. The shares of Series A Convertible Preferred Stock, Series A-2 Convertible Preferred Stock, Series B Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering on June 21, 2019.
2. Apple Tree Partners IV, L.P. ("ATP IV"). ATP III GP, Ltd. ("ATP III"), is the sole general partner of ATP IV. Seth Harrison, a director of Issuer, is the sole director of ATP III and may be deemed to have sole voting and dispositive power over the shares held by ATP IV. Dr. Harrison disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.
/s/ Stephen Tulipano, Attorney-in-Fact 06/21/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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