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SUTRO BIOPHARMA, INC.

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5797
SEC CIK
0001382101
Parsed reports
335

Last 12 months

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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
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Dec 202500
Jan 202600
Feb 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
December 28, 2020 Filed Dec 29, 2020 17:00 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 2,393 $4.36 $10,433.48
Disclosure

SEC source: 0001209191-20-065371 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,105

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 10, 2020 Filed Dec 14, 2020 23:40 UTC OtherCommon Stock 56,327 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-063314 · doc4.xml · nonDerivative · entry 2

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By partnership

Disclosed balance after: 56,327

F1 · kind: The shares reported on this form represent pro rata distributions, and not sales or purchases, of securities by the reporting entity to its partners.

F3 · ownership.nature: These securities are held of record by the John Freund Family Partnership IV, L.P.

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December 10, 2020 Filed Dec 14, 2020 23:40 UTC OtherCommon Stock 118,735 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-063314 · doc4.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Management V, LLC

Disclosed balance after: 0

F1 · kind: The shares reported on this form represent pro rata distributions, and not sales or purchases, of securities by the reporting entity to its partners.

F2 · ownership.nature: These securities are held of record by Skyline Venture Management V, LLC ("Skyline Management"), of which the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors, and each may be deemed to share voting and investment power over the securities held by Skyline Management. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
November 30, 2020 Filed Dec 1, 2020 22:10 UTC GrantStock Option (right to buy) · Derivative 24,000 $0.00 Strike: $17.10 $0.00
Disclosure

SEC source: 0001209191-20-060914 · doc4.xml · derivative · entry 1

Wigginton Jon Marc · CIK 0001587487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2030-11-29

F1 · derivative.exercise_date: The option vests as to 2.778% of the total shares monthly, beginning on December 30, 2020, with 100% of the total shares vested and exercisable on November 30, 2023, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
November 27, 2020 Filed Nov 30, 2020 17:14 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: 0001209191-20-060756 · doc4.xml · derivative · entry 3

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,790

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
November 27, 2020 Filed Nov 30, 2020 17:14 UTC
Hallam TrevorChief Scientific Officer
SaleCommon Stock 2,393 $17.01 $40,713.07
Disclosure

SEC source: 0001209191-20-060756 · 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 $16.505 to $17.36 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.

Read SEC document
November 27, 2020 Filed Nov 30, 2020 17:14 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 2,393 $4.36 $10,433.48
Disclosure

SEC source: 0001209191-20-060756 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,105

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
November 09, 2020 Filed Nov 12, 2020 21:59 UTC OtherCommon Stock 118,735 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-057999 · doc4.xml · nonDerivative · entry 2

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Management V, LLC

Disclosed balance after: 118,735

F1 · kind: The shares reported on this form represent pro rata distributions, and not sales or purchases, of securities by the reporting entity to its partners for which it acts as nominee without consideration.

F3 · ownership.nature: These securities are held of record by Skyline Management, of which the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors, and each may be deemed to share voting and investment power over the securities held by Skyline Management. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
November 09, 2020 Filed Nov 12, 2020 21:59 UTC OtherCommon Stock 560,053 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-057999 · doc4.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 0

F1 · kind: The shares reported on this form represent pro rata distributions, and not sales or purchases, of securities by the reporting entity to its partners for which it acts as nominee without consideration.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
November 05, 2020 Filed Nov 6, 2020 17:08 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 16,751 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-20-057311 · doc4.xml · derivative · entry 3

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,183

Underlying: Common Stock · 16,751 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.

Read SEC document
November 05, 2020 Filed Nov 6, 2020 17:08 UTC
Hallam TrevorChief Scientific Officer
SaleCommon Stock 16,751 $15.00 $251,265.00
Disclosure

SEC source: 0001209191-20-057311 · 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.

Read SEC document
November 05, 2020 Filed Nov 6, 2020 17:08 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 16,751 $4.36 $73,034.36
Disclosure

SEC source: 0001209191-20-057311 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,463

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
October 05, 2020 Filed Oct 6, 2020 16:54 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionEmployee Stock Option (right to buy) · Derivative 9,182 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-20-054025 · doc4.xml · derivative · entry 2

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,934

Underlying: Common Stock · 9,182 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.

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

Read SEC document
October 05, 2020 Filed Oct 6, 2020 16:54 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 9,182 $4.36 $40,033.52
Disclosure

SEC source: 0001209191-20-054025 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,712

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
September 28, 2020 Filed Sep 28, 2020 17:55 UTC
Hallam TrevorChief Scientific Officer
SaleCommon Stock 975 $10.26 $10,006.72
Disclosure

SEC source: 0001209191-20-052246 · doc4.xml · nonDerivative · entry 5

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,530

F2 · 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 $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.

Read SEC document
September 25, 2020 Filed Sep 28, 2020 17:53 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,609 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052244 · doc4.xml · derivative · entry 3

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,609

Underlying: Common Stock · 8,609 shares

Expires 2021-09-26

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 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

Read SEC document
September 25, 2020 Filed Sep 28, 2020 17:53 UTC
Shabbir AnikChief Technical Ops. Officer
Tax withholdingCommon Stock 2,976 $10.30 $30,652.80
Disclosure

SEC source: 0001209191-20-052244 · doc4.xml · nonDerivative · entry 2

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,265

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
September 25, 2020 Filed Sep 28, 2020 17:53 UTC
Shabbir AnikChief Technical Ops. Officer
Exercise / conversionCommon Stock 8,609 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052244 · doc4.xml · nonDerivative · entry 1

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,241

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
September 25, 2020 Filed Sep 28, 2020 17:52 UTC
ALBINI EDWARD CCFO and Secretary
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,174 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052243 · doc4.xml · derivative · entry 3

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,174

Underlying: Common Stock · 7,174 shares

Expires 2021-09-26

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 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

Read SEC document
September 25, 2020 Filed Sep 28, 2020 17:52 UTC
ALBINI EDWARD CCFO and Secretary
Tax withholdingCommon Stock 2,480 $10.30 $25,544.00
Disclosure

SEC source: 0001209191-20-052243 · doc4.xml · nonDerivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,076

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
September 25, 2020 Filed Sep 28, 2020 17:52 UTC
ALBINI EDWARD CCFO and Secretary
Exercise / conversionCommon Stock 7,174 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052243 · doc4.xml · nonDerivative · entry 1

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,556

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
September 25, 2020 Filed Sep 28, 2020 17:54 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,576 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052245 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,576

Underlying: Common Stock · 7,576 shares

Expires 2021-09-26

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 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

Read SEC document
September 25, 2020 Filed Sep 28, 2020 17:54 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Tax withholdingCommon Stock 2,619 $10.30 $26,975.70
Disclosure

SEC source: 0001209191-20-052245 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,964

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
September 25, 2020 Filed Sep 28, 2020 17:54 UTC
FITZPATRICK LINDA AChief People & Comm. Officer
Exercise / conversionCommon Stock 7,576 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052245 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,583

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
September 25, 2020 Filed Sep 28, 2020 17:57 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 25,252 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052248 · doc4.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,253

Underlying: Common Stock · 25,252 shares

Expires 2021-09-26

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 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

Read SEC document
September 25, 2020 Filed Sep 28, 2020 17:57 UTC
NEWELL WILLIAM JDirector · CEO
Tax withholdingCommon Stock 13,219 $10.30 $136,155.70
Disclosure

SEC source: 0001209191-20-052248 · doc4.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,660

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
September 25, 2020 Filed Sep 28, 2020 17:57 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionCommon Stock 25,252 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052248 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,879

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
September 25, 2020 Filed Sep 28, 2020 17:55 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,887 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052246 · doc4.xml · derivative · entry 7

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,887 shares

Expires 2020-09-26

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.

F6 · derivative.exercise_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.

Read SEC document
September 25, 2020 Filed Sep 28, 2020 17:55 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,019 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052246 · doc4.xml · derivative · entry 6

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,019

Underlying: Common Stock · 11,019 shares

Expires 2021-09-26

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 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

Read SEC document
September 25, 2020 Filed Sep 28, 2020 17:55 UTC
Hallam TrevorChief Scientific Officer
Tax withholdingCommon Stock 2,381 $10.30 $24,524.30
Disclosure

SEC source: 0001209191-20-052246 · doc4.xml · nonDerivative · entry 4

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,505

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
September 25, 2020 Filed Sep 28, 2020 17:55 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 6,887 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052246 · doc4.xml · nonDerivative · entry 3

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,886

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
September 25, 2020 Filed Sep 28, 2020 17:55 UTC
Hallam TrevorChief Scientific Officer
Tax withholdingCommon Stock 3,810 $10.30 $39,243.00
Disclosure

SEC source: 0001209191-20-052246 · doc4.xml · nonDerivative · entry 2

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,999

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
September 25, 2020 Filed Sep 28, 2020 17:55 UTC
Hallam TrevorChief Scientific Officer
Exercise / conversionCommon Stock 11,019 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052246 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,809

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
September 25, 2020 Filed Sep 28, 2020 21:56 UTC
MOLINA ARTURO MDChief Medical Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,609 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052247 · doc4.xml · derivative · entry 3

MOLINA ARTURO MD · CIK 0001398940 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,609

Underlying: Common Stock · 8,609 shares

Expires 2021-09-26

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 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

Read SEC document
September 25, 2020 Filed Sep 28, 2020 21:56 UTC
MOLINA ARTURO MDChief Medical Officer
Tax withholdingCommon Stock 2,976 $10.30 $30,652.80
Disclosure

SEC source: 0001209191-20-052247 · doc4.xml · nonDerivative · entry 2

MOLINA ARTURO MD · CIK 0001398940 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,716

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
September 25, 2020 Filed Sep 28, 2020 21:56 UTC
MOLINA ARTURO MDChief Medical Officer
Exercise / conversionCommon Stock 8,609 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-052247 · doc4.xml · nonDerivative · entry 1

MOLINA ARTURO MD · CIK 0001398940 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,692

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
September 18, 2020 Filed Sep 22, 2020 20:56 UTC SaleCommon Stock 400,000 $12.00 $4,800,000.00
Disclosure

SEC source: 0001209191-20-051490 · doc4.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 560,053

F1 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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September 11, 2020 Filed Sep 15, 2020 21:15 UTC SaleCommon Stock 500,000 $10.00 $5,000,000.00
Disclosure

SEC source: 0001209191-20-050511 · doc4.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 960,053

F1 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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August 26, 2020 Filed Aug 27, 2020 17:04 UTC
Hallam TrevorChief Scientific Officer
SaleCommon Stock 975 $9.04 $8,818.29
Disclosure

SEC source: 0001209191-20-048538 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,790

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 $8.85 to $9.31 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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August 19, 2020 Filed Aug 21, 2020 21:18 UTC SaleCommon Stock 500,000 $8.72 $4,360,000.00
Disclosure

SEC source: 0001209191-20-047981 · doc4.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 1,460,053

F1 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. the reporting person, a member of the issuer's board of directors, together with Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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July 27, 2020 Filed Jul 28, 2020 17:08 UTC
Hallam TrevorChief Science Officer
SaleCommon Stock 975 $8.06 $7,858.21
Disclosure

SEC source: 0001209191-20-043857 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,765

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 $8.02 to $8.28 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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June 26, 2020 Filed Jun 29, 2020 19:23 UTC
Hallam TrevorChief Science Officer
SaleCommon Stock 975 $8.02 $7,817.65
Disclosure

SEC source: 0001209191-20-039220 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,740

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 $7.81 to $8.38 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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June 05, 2020 Filed Jun 8, 2020 21:26 UTC GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $9.83 $0.00
Disclosure

SEC source: 0001209191-20-035027 · doc4.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The option is fully vested on June 5, 2021, subject to the reporting person's provision of service to the issuer on the vesting date.

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June 05, 2020 Filed Jun 8, 2020 17:35 UTC GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $9.83 $0.00
Disclosure

SEC source: 0001209191-20-035036 · doc4.xml · derivative · entry 1

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The option is fully vested on June 5, 2021, subject to the reporting person's provision of service to the issuer on the vesting date.

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June 05, 2020 Filed Jun 8, 2020 21:28 UTC GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $9.83 $0.00
Disclosure

SEC source: 0001209191-20-035030 · doc4.xml · derivative · entry 1

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The option is fully vested on June 5, 2021, subject to the reporting person's provision of service to the issuer on the vesting date.

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June 05, 2020 Filed Jun 8, 2020 17:46 UTC GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $9.83 $0.00
Disclosure

SEC source: 0001209191-20-035058 · doc4.xml · derivative · entry 1

PANEK JAMES P · CIK 0001217412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The option is fully vested on June 5, 2021, subject to the reporting person's provision of service to the issuer on the vesting date.

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June 05, 2020 Filed Jun 8, 2020 21:36 UTC GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $9.83 $0.00
Disclosure

SEC source: 0001209191-20-035037 · doc4.xml · derivative · entry 1

Sharp Shalini · CIK 0001377202 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The option is fully vested on June 5, 2021, subject to the reporting person's provision of service to the issuer on the vesting date.

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June 05, 2020 Filed Jun 8, 2020 21:27 UTC GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $9.83 $0.00
Disclosure

SEC source: 0001209191-20-035028 · doc4.xml · derivative · entry 1

Lobacki Joseph M · CIK 0001536193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The option is fully vested on June 5, 2021, subject to the reporting person's provision of service to the issuer on the vesting date.

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June 05, 2020 Filed Jun 8, 2020 21:25 UTC GrantStock Option (right to buy) · Derivative 12,000 $0.00 Strike: $9.83 $0.00
Disclosure

SEC source: 0001209191-20-035026 · doc4.xml · derivative · entry 1

Dybbs Michael · CIK 0001601264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The option is fully vested on June 5, 2021, subject to the reporting person's provision of service to the issuer on the vesting date.

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May 26, 2020 Filed May 27, 2020 18:38 UTC
Hallam TrevorChief Science Officer
SaleCommon Stock 975 $10.00 $9,753.32
Disclosure

SEC source: 0001209191-20-032414 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,715

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 $9.84 to $10.145 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.