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STRO

SUTRO BIOPHARMA, INC.

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5797
SEC CIK
0001382101
Parsed reports
335

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
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May 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 03, 2021 Filed Jun 7, 2021 17:05 UTC GrantStock Option (right to buy) · Derivative 18,500 $0.00 Strike: $18.21 $0.00
Disclosure

SEC source: 0001209191-21-038688 · doc4.xml · derivative · entry 1

PANEK JAMES P · CIK 0001217412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2031-06-02

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 3, 2021, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2022 annual stockholders meeting or June 3, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 03, 2021 Filed Jun 7, 2021 21:07 UTC GrantStock Option (right to buy) · Derivative 18,500 $0.00 Strike: $18.21 $0.00
Disclosure

SEC source: 0001209191-21-038699 · doc4.xml · derivative · entry 1

Sharp Shalini · CIK 0001377202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2031-06-02

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 3, 2021, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2022 annual stockholders meeting or June 3, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 03, 2021 Filed Jun 7, 2021 21:08 UTC GrantStock Option (right to buy) · Derivative 18,500 $0.00 Strike: $18.21 $0.00
Disclosure

SEC source: 0001209191-21-038701 · doc4.xml · derivative · entry 1

Wigginton Jon Marc · CIK 0001587487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2031-06-02

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 3, 2021, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2022 annual stockholders meeting or June 3, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 03, 2021 Filed Jun 7, 2021 21:04 UTC GrantStock Option (right to buy) · Derivative 18,500 $0.00 Strike: $18.21 $0.00
Disclosure

SEC source: 0001209191-21-038682 · doc4.xml · derivative · entry 1

Lobacki Joseph M · CIK 0001536193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2031-06-02

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 3, 2021, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2022 annual stockholders meeting or June 3, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 03, 2021 Filed Jun 7, 2021 21:02 UTC GrantStock Option (right to buy) · Derivative 18,500 $0.00 Strike: $18.21 $0.00
Disclosure

SEC source: 0001209191-21-038677 · doc4.xml · derivative · entry 1

Dybbs Michael · CIK 0001601264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2031-06-02

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 3, 2021, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2022 annual stockholders meeting or June 3, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
April 16, 2021 Filed Apr 20, 2021 17:38 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
GrantRestricted Stock Unit (RSU) · Derivative 15,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-027600 · doc4.xml · derivative · entry 2

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2025-04-16

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on April 16, 2022, subject to continued service through each vesting date.

Read SEC document
April 16, 2021 Filed Apr 20, 2021 17:38 UTC
Hallam TrevorPres. Rsrch & Cf. Sctific Ofcr
GrantStock Option (right to buy Common Stock) · Derivative 20,000 $0.00 Strike: $20.01 $0.00
Disclosure

SEC source: 0001209191-21-027600 · doc4.xml · derivative · entry 1

Hallam Trevor · CIK 0001326592 · Pres. Rsrch & Cf. Sctific Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-04-15

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on May 16, 2021, with 100% of the total shares vested and exercisable on April 16, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:17 UTC
Shabbir AnikChief Technical Ops. Officer
GrantRestricted Stock Unit (RSU) · Derivative 35,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-018618 · doc4.xml · derivative · entry 2

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2025-03-05

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_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.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:17 UTC
Shabbir AnikChief Technical Ops. Officer
GrantStock Option (right to buy Common Stock) · Derivative 50,000 $0.00 Strike: $21.11 $0.00
Disclosure

SEC source: 0001209191-21-018618 · doc4.xml · derivative · entry 1

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 5, 2021, with 100% of the total shares vested and exercisable on March 5, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:16 UTC
ALBINI EDWARD CCFO and Secretary
GrantRestricted Stock Unit (RSU) · Derivative 35,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-018617 · doc4.xml · derivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2025-03-05

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_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.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:16 UTC
ALBINI EDWARD CCFO and Secretary
GrantStock Option (right to buy Common Stock) · Derivative 50,000 $0.00 Strike: $21.11 $0.00
Disclosure

SEC source: 0001209191-21-018617 · doc4.xml · derivative · entry 1

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 5, 2021, with 100% of the total shares vested and exercisable on March 5, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:18 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
GrantRestricted Stock Unit (RSU) · Derivative 35,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-018619 · doc4.xml · derivative · entry 2

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2025-03-05

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_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.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:18 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
GrantStock Option (right to buy Common Stock) · Derivative 50,000 $0.00 Strike: $21.11 $0.00
Disclosure

SEC source: 0001209191-21-018619 · doc4.xml · derivative · entry 1

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 5, 2021, with 100% of the total shares vested and exercisable on March 5, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:20 UTC
NEWELL WILLIAM JDirector · CEO
GrantRestricted Stock Unit (RSU) · Derivative 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-018623 · doc4.xml · derivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2025-03-05

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_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.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:20 UTC
NEWELL WILLIAM JDirector · CEO
GrantStock Option (right to buy Common Stock) · Derivative 200,000 $0.00 Strike: $21.11 $0.00
Disclosure

SEC source: 0001209191-21-018623 · doc4.xml · derivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 5, 2021, with 100% of the total shares vested and exercisable on March 5, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:19 UTC
Hallam TrevorChief Scientific Officer
GrantRestricted Stock Unit (RSU) · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-018620 · doc4.xml · derivative · entry 2

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2025-03-05

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_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.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 17:19 UTC
Hallam TrevorChief Scientific Officer
GrantStock Option (right to buy Common Stock) · Derivative 60,000 $0.00 Strike: $21.11 $0.00
Disclosure

SEC source: 0001209191-21-018620 · doc4.xml · derivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 5, 2021, with 100% of the total shares vested and exercisable on March 5, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 22:20 UTC
MOLINA ARTURO MDChief Medical Officer
GrantRestricted Stock Unit (RSU) · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-018622 · doc4.xml · derivative · entry 2

MOLINA ARTURO MD · CIK 0001398940 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2025-03-05

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_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.

Read SEC document
March 05, 2021 Filed Mar 8, 2021 22:20 UTC
MOLINA ARTURO MDChief Medical Officer
GrantStock Option (right to buy Common Stock) · Derivative 60,000 $0.00 Strike: $21.11 $0.00
Disclosure

SEC source: 0001209191-21-018622 · doc4.xml · derivative · entry 1

MOLINA ARTURO MD · CIK 0001398940 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 5, 2021, with 100% of the total shares vested and exercisable on March 5, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:53 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006554 · doc4.xml · derivative · entry 3

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,500

Underlying: Common Stock · 4,500 shares

Expires 2024-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:53 UTC
Shabbir AnikChief Technical Ops. Officer
Tax withholdingCommon Stock 1,845 $22.15 $40,866.75
Disclosure

SEC source: 0001209191-21-006554 · doc4.xml · nonDerivative · entry 2

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,920

F1 · shares: 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.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:53 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionCommon Stock 4,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006554 · doc4.xml · nonDerivative · entry 1

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,765

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:48 UTC
ALBINI EDWARD CCFO and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006550 · doc4.xml · derivative · entry 3

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,750

Underlying: Common Stock · 5,250 shares

Expires 2024-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:48 UTC
ALBINI EDWARD CCFO and Secretary
Tax withholdingCommon Stock 2,126 $22.15 $47,090.90
Disclosure

SEC source: 0001209191-21-006550 · doc4.xml · nonDerivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,200

F1 · shares: 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.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:48 UTC
ALBINI EDWARD CCFO and Secretary
Exercise / conversionCommon Stock 5,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006550 · doc4.xml · nonDerivative · entry 1

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,326

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:54 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006556 · doc4.xml · derivative · entry 4

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,750

Underlying: Common Stock · 8,250 shares

Expires 2024-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F4 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:54 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Tax withholdingCommon Stock 3,147 $22.15 $69,706.05
Disclosure

SEC source: 0001209191-21-006556 · doc4.xml · nonDerivative · entry 2

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,719

F1 · shares: 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.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:54 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionCommon Stock 8,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006556 · doc4.xml · nonDerivative · entry 1

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,866

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:56 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006559 · doc4.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,250

Underlying: Common Stock · 13,750 shares

Expires 2024-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:56 UTC
NEWELL WILLIAM JDirector · CEO
Tax withholdingCommon Stock 7,061 $22.15 $156,401.15
Disclosure

SEC source: 0001209191-21-006559 · doc4.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,349

F1 · shares: 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.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:56 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionCommon Stock 13,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006559 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,410

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:55 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006557 · doc4.xml · derivative · entry 3

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,750

Underlying: Common Stock · 5,250 shares

Expires 2024-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:55 UTC
Hallam TrevorChief Scientific Officer
Tax withholdingCommon Stock 2,080 $22.15 $46,072.00
Disclosure

SEC source: 0001209191-21-006557 · doc4.xml · nonDerivative · entry 2

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,287

F1 · shares: 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.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 17:55 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 5,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006557 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,367

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 29, 2021 Filed Feb 1, 2021 22:55 UTC
MOLINA ARTURO MDChief Medical Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006558 · doc4.xml · derivative · entry 3

MOLINA ARTURO MD · CIK 0001398940 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,750

Underlying: Common Stock · 5,250 shares

Expires 2024-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

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January 29, 2021 Filed Feb 1, 2021 22:55 UTC
MOLINA ARTURO MDChief Medical Officer
Tax withholdingCommon Stock 2,107 $22.15 $46,670.05
Disclosure

SEC source: 0001209191-21-006558 · doc4.xml · nonDerivative · entry 2

MOLINA ARTURO MD · CIK 0001398940 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,859

F1 · shares: 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.

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January 29, 2021 Filed Feb 1, 2021 22:55 UTC
MOLINA ARTURO MDChief Medical Officer
Exercise / conversionCommon Stock 5,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-006558 · doc4.xml · nonDerivative · entry 1

MOLINA ARTURO MD · CIK 0001398940 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,966

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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January 29, 2021 Filed Feb 1, 2022 20:32 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 4,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-006121 · doc4.xml · derivative · entry 3

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 4,500 shares

Expires 2025-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

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January 26, 2021 Filed Jan 27, 2021 17:05 UTC Exercise / conversionStock Option (right to buy Common Stock) · Derivative 4,132 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-21-005713 · doc4.xml · derivative · entry 3

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,132 shares

Expires 2021-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested and exercisable.

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January 26, 2021 Filed Jan 27, 2021 17:05 UTC Exercise / conversionCommon Stock 4,132 $4.36 $18,015.52
Disclosure

SEC source: 0001209191-21-005713 · doc4.xml · nonDerivative · entry 1

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,988

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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January 26, 2021 Filed Jan 27, 2021 17:04 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 2,393 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-21-005712 · doc4.xml · derivative · entry 4

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4

Underlying: Common Stock · 2,393 shares

Expires 2021-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The option is fully vested and exercisable.

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January 26, 2021 Filed Jan 27, 2021 17:04 UTC
Hallam TrevorChief Scientific Officer
SaleCommon Stock 165 $26.10 $4,306.15
Disclosure

SEC source: 0001209191-21-005712 · doc4.xml · nonDerivative · entry 3

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,117

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the holder.

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.05 to $26.10 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.

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January 26, 2021 Filed Jan 27, 2021 17:04 UTC
Hallam TrevorChief Scientific Officer
SaleCommon Stock 2,228 $25.68 $57,221.72
Disclosure

SEC source: 0001209191-21-005712 · doc4.xml · nonDerivative · entry 2

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,282

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the holder.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.05 to $25.91 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.

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January 26, 2021 Filed Jan 27, 2021 17:04 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 2,393 $4.36 $10,433.48
Disclosure

SEC source: 0001209191-21-005712 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,510

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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January 19, 2021 Filed Jan 20, 2021 17:21 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionStock Option (right to buy) · Derivative 1,652 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-21-004387 · doc4.xml · derivative · entry 3

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,652 shares

Expires 2021-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option is fully vested and exercisable.

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January 19, 2021 Filed Jan 20, 2021 17:21 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionCommon Stock 1,652 $4.36 $7,202.72
Disclosure

SEC source: 0001209191-21-004387 · doc4.xml · nonDerivative · entry 1

FITZPATRICK LINDA A · CIK 0001188953 · Chief People & Comm. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,616

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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January 14, 2021 Filed Jan 15, 2021 18:10 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 19,405 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-21-003875 · doc4.xml · derivative · entry 2

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,405 shares

Expires 2022-09-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is fully vested and exercisable.

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January 14, 2021 Filed Jan 15, 2021 18:10 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 19,405 $4.36 $84,605.80
Disclosure

SEC source: 0001209191-21-003875 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,117

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
December 28, 2020 Filed Dec 29, 2020 17:00 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 2,393 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-20-065371 · doc4.xml · derivative · entry 3

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,397

Underlying: Common Stock · 2,393 shares

Expires 2021-02-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The option is fully vested and exercisable.

Read SEC document
December 28, 2020 Filed Dec 29, 2020 17:00 UTC
Hallam TrevorChief Scientific Officer
SaleCommon Stock 2,393 $22.37 $53,530.21
Disclosure

SEC source: 0001209191-20-065371 · doc4.xml · nonDerivative · entry 2

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,712

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the holder.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.89 to $22.635 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.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.