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Nasdaq · USD

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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 23, 2025 Filed Dec 29, 2025 17:05 UTC GrantStock Option (right to buy) · Derivative 1,500 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001294939-25-000004 · form4-12292025_101202.xml · derivative · entry 1

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2035-12-23

F1 · derivative.exercise_date: The option shall vest as to 16.67% of the total award monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 22:03 UTC GrantStock Option (right to buy) · Derivative 1,500 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001236537-25-000008 · form4-12292025_101213.xml · derivative · entry 1

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2035-12-23

F1 · derivative.exercise_date: The option shall vest as to 16.67% of the total award monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 17:04 UTC GrantStock Option (right to buy) · Derivative 1,500 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001217412-25-000003 · form4-12292025_101218.xml · derivative · entry 1

PANEK JAMES P · CIK 0001217412 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2035-12-23

F1 · derivative.exercise_date: The option shall vest as to 16.67% of the total award monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 22:05 UTC GrantStock Option (right to buy) · Derivative 1,500 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001587487-25-000004 · form4-12292025_101249.xml · derivative · entry 1

Wigginton Jon Marc · CIK 0001587487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2035-12-23

F1 · derivative.exercise_date: The option shall vest as to 16.67% of the total award monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 22:00 UTC GrantStock Option (right to buy) · Derivative 1,500 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001536193-25-000004 · form4-12292025_101215.xml · derivative · entry 1

Lobacki Joseph M · CIK 0001536193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2035-12-23

F1 · derivative.exercise_date: The option shall vest as to 16.67% of the total award monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 21:58 UTC
Jagpal SukhiDirector
GrantStock Option (right to buy) · Derivative 1,500 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001554591-25-000004 · form4-12292025_091244.xml · derivative · entry 1

Jagpal Sukhi · CIK 0001554591 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2035-12-23

F1 · derivative.exercise_date: The option shall vest as to 16.67% of the total award monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 21:57 UTC
Hunter HeidiDirector
GrantStock Option (right to buy) · Derivative 1,500 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001891841-25-000005 · form4-12292025_091243.xml · derivative · entry 1

Hunter Heidi · CIK 0001891841 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2035-12-23

F1 · derivative.exercise_date: The option shall vest as to 16.67% of the total award monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 21:54 UTC GrantStock Option (right to buy) · Derivative 1,500 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001601264-25-000005 · form4-12292025_091245.xml · derivative · entry 1

Dybbs Michael · CIK 0001601264 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2035-12-23

F1 · derivative.exercise_date: The option shall vest as to 16.67% of the total award monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 21:51 UTC
Pauling DavidChief Admin. Ofcr. & GC
GrantStock Option (right to buy) · Derivative 7,200 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0002063633-25-000006 · form4-12292025_091213.xml · derivative · entry 1

Pauling David · CIK 0002063633 · Chief Admin. Ofcr. & GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,200

Underlying: Common Stock · 7,200 shares

Expires 2035-12-23

F1 · derivative.exercise_date: 1/48 of the total option award shall vest monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 23, 2025 Filed Dec 29, 2025 21:47 UTC GrantStock Option (right to buy) · Derivative 8,200 $0.00 Strike: $10.38 $0.00
Disclosure

SEC source: 0001761333-25-000008 · form4-12292025_091238.xml · derivative · entry 1

Chow Gregory K. · CIK 0001761333 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,200

Underlying: Common Stock · 8,200 shares

Expires 2035-12-23

F1 · derivative.exercise_date: 1/48 of the total option award shall vest monthly, subject to the reporting person's continued service to the issuer on each vesting date, with the first tranche vesting on January 23, 2026.

Read SEC document
December 12, 2025 Filed Dec 16, 2025 20:47 UTC
Chung JaneDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001872398-25-000005 · form4-12172025_011222.xml · derivative · entry 3

Chung Jane · CIK 0001872398 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 2,500 shares

Expires 2027-12-01

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 share of the Issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSU award vested or vests as to 1/4th of the total award annually, subject to continued service through each vesting date, with the first tranche vested on December 1, 2024. The reported transaction represents the deferred vesting and settlement of a tranche of this award pursuant to the terms of the reporting person's award agreement with the Issuer.

Read SEC document
December 12, 2025 Filed Dec 16, 2025 20:47 UTC
Chung JaneDirector · Chief Executive Officer
Tax withholdingCommon Stock 894 $8.02 $7,165.41
Disclosure

SEC source: 0001872398-25-000005 · form4-12172025_011222.xml · nonDerivative · entry 2

Chung Jane · CIK 0001872398 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,891

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 RSUs; does not represent a sale by the reporting person.

Read SEC document
December 12, 2025 Filed Dec 16, 2025 20:47 UTC
Chung JaneDirector · Chief Executive Officer
Exercise / conversionCommon Stock 2,500 $0.00 $0.00
Disclosure

SEC source: 0001872398-25-000005 · form4-12172025_011222.xml · nonDerivative · entry 1

Chung Jane · CIK 0001872398 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,785

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 15, 2025 Filed Oct 16, 2025 08:19 UTC
Gerber Hans-PeterCHIEF SCIENTIFIC OFFICER
PurchaseCommon Stock 17,000 $0.80 $13,606.80
Disclosure

SEC source: 0001992979-25-000004 · form4-10162025_121041.xml · nonDerivative · entry 1

Gerber Hans-Peter · CIK 0001992979 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,832

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7932 to $0.8015, 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
October 15, 2025 Filed Oct 16, 2025 08:17 UTC
Chung JaneDirector · Chief Executive Officer
PurchaseCommon Stock 12,500 $0.80 $10,011.25
Disclosure

SEC source: 0001872398-25-000004 · form4-10162025_121000.xml · nonDerivative · entry 1

Chung Jane · CIK 0001872398 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,850

Read SEC document
October 15, 2025 Filed Oct 16, 2025 12:15 UTC PurchaseCommon Stock 50,000 $0.80 $39,950.00
Disclosure

SEC source: 0001236537-25-000006 · form4-10162025_121046.xml · nonDerivative · entry 1

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Read SEC document
October 15, 2025 Filed Oct 16, 2025 12:18 UTC PurchaseCommon Stock 19,750 $0.81 $15,997.50
Disclosure

SEC source: 0001761333-25-000005 · form4-10162025_121041.xml · nonDerivative · entry 1

Chow Gregory K. · CIK 0001761333 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,750

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8099 to $0.8100, 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 purchased at each separate price within the range set forth in this footnote.

Read SEC document
October 15, 2025 Filed Oct 16, 2025 12:14 UTC
Pauling DavidChief Admin. Ofcr. & GC
PurchaseCommon Stock 12,504 $0.80 $9,993.20
Disclosure

SEC source: 0002063633-25-000004 · form4-10162025_121018.xml · nonDerivative · entry 1

Pauling David · CIK 0002063633 · Chief Admin. Ofcr. & GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,737

F1 · balance_after: The reported total includes 2,500 shares of Common Stock acquired by the reporting person in one or more transactions with the Issuer pursuant to its Employee Stock Purchase Plan, which transactions are exempt pursuant to Rules 16a3(f)(1)(i)(B) and 16b3(c).

Read SEC document
September 18, 2025 Filed Sep 22, 2025 17:01 UTC
Gerber Hans-PeterCHIEF SCIENTIFIC OFFICER
Exercise / conversionRestricted Stock Units (RSUs) · Derivative 37,500 $0.00 $0.00
Disclosure

SEC source: 0001992979-25-000003 · form4-09222025_090937.xml · derivative · entry 3

Gerber Hans-Peter · CIK 0001992979 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 37,500 shares

Expires 2027-09-18

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 RSU award vests annually as to 1/4th of the total award beginning on September 18, 2024, subject to the reporting person's continued service to the Issuer on each vesting date.

Read SEC document
September 18, 2025 Filed Sep 22, 2025 17:01 UTC
Gerber Hans-PeterCHIEF SCIENTIFIC OFFICER
Tax withholdingCommon Stock 13,417 $0.90 $12,075.30
Disclosure

SEC source: 0001992979-25-000003 · form4-09222025_090937.xml · nonDerivative · entry 2

Gerber Hans-Peter · CIK 0001992979 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,832

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 restricted stock units; does not represent a sale by the reporting person.

Read SEC document
September 18, 2025 Filed Sep 22, 2025 17:01 UTC
Gerber Hans-PeterCHIEF SCIENTIFIC OFFICER
Exercise / conversionCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001992979-25-000003 · form4-09222025_090937.xml · nonDerivative · entry 1

Gerber Hans-Peter · CIK 0001992979 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,249

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
August 09, 2025 Filed Aug 26, 2025 21:20 UTC
Chung JaneDirector · Chief Executive Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 18,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-023083 · form4-08272025_010839.xml · derivative · entry 3

Chung Jane · CIK 0001872398 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,750 shares

Expires 2025-08-09

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 vested or vest as to 1/4th of the total award annually beginning on August 9, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
August 09, 2025 Filed Aug 26, 2025 21:20 UTC
Chung JaneDirector · Chief Executive Officer
Tax withholdingCommon Stock 6,708 $0.80 $5,366.40
Disclosure

SEC source: 0001415889-25-023083 · form4-08272025_010839.xml · nonDerivative · entry 2

Chung Jane · CIK 0001872398 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,350

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 restricted stock units; does not represent a sale by the reporting person.

Read SEC document
August 09, 2025 Filed Aug 26, 2025 21:20 UTC
Chung JaneDirector · Chief Executive Officer
Exercise / conversionCommon Stock 18,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-023083 · form4-08272025_010839.xml · nonDerivative · entry 1

Chung Jane · CIK 0001872398 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,058

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
July 08, 2025 Filed Aug 26, 2025 21:21 UTC
Leyman BarbaraChief Business Officer
Exercise / conversionRestricted Stock Units (RSUs) · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-023084 · form4-08272025_010822.xml · derivative · entry 3

Leyman Barbara · CIK 0002028309 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 25,000 shares

Expires 2028-07-08

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_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 award annually beginning on July 8, 2025, subject to the reporting person's continued service to the Issuer through each vesting date.

Read SEC document
July 08, 2025 Filed Aug 26, 2025 21:21 UTC
Leyman BarbaraChief Business Officer
Tax withholdingCommon Stock 8,944 $0.78 $6,976.32
Disclosure

SEC source: 0001415889-25-023084 · form4-08272025_010822.xml · nonDerivative · entry 2

Leyman Barbara · CIK 0002028309 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,056

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 restricted stock units; does not represent a sale by the reporting person.

Read SEC document
July 08, 2025 Filed Aug 26, 2025 21:21 UTC
Leyman BarbaraChief Business Officer
Exercise / conversionCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-023084 · form4-08272025_010822.xml · nonDerivative · entry 1

Leyman Barbara · CIK 0002028309 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

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
June 06, 2025 Filed Jun 10, 2025 16:13 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001415889-25-016470 · form4-06102025_080628.xml · derivative · entry 1

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2025, with 100% of the total shares vested and exercisable on the earlier of the date of the issuer's 2026 annual stockholders meeting or June 6, 2026, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 06, 2025 Filed Jun 10, 2025 20:12 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001415889-25-016468 · form4-06102025_080602.xml · derivative · entry 1

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2025, with 100% of the total shares vested and exercisable on the earlier of the date of the issuer's 2026 annual stockholders meeting or June 6, 2026, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 06, 2025 Filed Jun 10, 2025 16:12 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001415889-25-016469 · form4-06102025_080644.xml · derivative · entry 1

PANEK JAMES P · CIK 0001217412 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2025, with 100% of the total shares vested and exercisable on the earlier of the date of the issuer's 2026 annual stockholders meeting or June 6, 2026, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 06, 2025 Filed Jun 10, 2025 20:11 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001415889-25-016467 · form4-06102025_080614.xml · derivative · entry 1

Lobacki Joseph M · CIK 0001536193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2025, with 100% of the total shares vested and exercisable on the earlier of the date of the issuer's 2026 annual stockholders meeting or June 6, 2026, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 06, 2025 Filed Jun 10, 2025 20:14 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001415889-25-016471 · form4-06102025_080610.xml · derivative · entry 1

Wigginton Jon Marc · CIK 0001587487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2025, with 100% of the total shares vested and exercisable on the earlier of the date of the issuer's 2026 annual stockholders meeting or June 6, 2026, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 06, 2025 Filed Jun 10, 2025 20:10 UTC
Jagpal SukhiDirector
GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001415889-25-016466 · form4-06102025_080630.xml · derivative · entry 1

Jagpal Sukhi · CIK 0001554591 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2025, with 100% of the total shares vested and exercisable on the earlier of the date of the issuer's 2026 annual stockholders meeting or June 6, 2026, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 06, 2025 Filed Jun 10, 2025 20:09 UTC
Hunter HeidiDirector
GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001415889-25-016464 · form4-06102025_080632.xml · derivative · entry 1

Hunter Heidi · CIK 0001891841 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2025, with 100% of the total shares vested and exercisable on the earlier of the date of the issuer's 2026 annual stockholders meeting or June 6, 2026, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 06, 2025 Filed Jun 10, 2025 20:08 UTC GrantStock Option (right to buy) · Derivative 50,000 $0.00 Strike: $0.85 $0.00
Disclosure

SEC source: 0001415889-25-016463 · form4-06102025_080619.xml · derivative · entry 1

Dybbs Michael · CIK 0001601264 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 6, 2025, with 100% of the total shares vested and exercisable on the earlier of the date of the issuer's 2026 annual stockholders meeting or June 6, 2026, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
June 02, 2025 Filed Jun 2, 2025 20:27 UTC GrantRestricted Stock Unit (RSU) · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-015142 · form4-06022025_080648.xml · derivative · entry 2

Chow Gregory K. · CIK 0001761333 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-06-02

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 RSU award vests annually as to 1/4th of the total award beginning on June 2, 2026, subject to the reporting person's continued service to the Issuer on each vesting date.

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June 02, 2025 Filed Jun 2, 2025 20:27 UTC GrantStock Option (right to buy) · Derivative 275,000 $0.00 Strike: $0.90 $0.00
Disclosure

SEC source: 0001415889-25-015142 · form4-06022025_080648.xml · derivative · entry 1

Chow Gregory K. · CIK 0001761333 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2035-06-02

F1 · derivative.exercise_date: 25% of the option award vests on June 2, 2026. The remainder vests ratably as to 1/48th of the total award monthly thereafter, subject to the reporting person's continued service to the Issuer on each vesting date.

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May 15, 2025 Filed May 19, 2025 16:11 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 9,125 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-013618 · form4-05192025_080539.xml · derivative · entry 7

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,125 shares

Expires 2026-03-04

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.

F4 · derivative.exercise_date: The reported transactions represent the accelerated vesting of certain of the reporting person's equity awards outstanding under the issuer's 2018 Equity Incentive Plan, in connection with his separation and transition from his position with the issuer, as previously reported by the issuer in its Current Report filed with the Securities and Exchange Commission on Form 8-K on March 13, 2025.

F6 · derivative.exercise_date: The RSUs vest as to 1/4th of the total award annually beginning on March 4, 2023, subject to continued service through each vesting date.

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May 15, 2025 Filed May 19, 2025 16:11 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 11,156 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-013618 · form4-05192025_080539.xml · derivative · entry 6

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,594

Underlying: Common Stock · 11,156 shares

Expires 2027-03-01

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.

F4 · derivative.exercise_date: The reported transactions represent the accelerated vesting of certain of the reporting person's equity awards outstanding under the issuer's 2018 Equity Incentive Plan, in connection with his separation and transition from his position with the issuer, as previously reported by the issuer in its Current Report filed with the Securities and Exchange Commission on Form 8-K on March 13, 2025.

F5 · derivative.exercise_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.

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May 15, 2025 Filed May 19, 2025 16:11 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 24,438 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-013618 · form4-05192025_080539.xml · derivative · entry 5

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,312

Underlying: Common Stock · 24,438 shares

Expires 2028-03-01

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 award annually beginning on March 1, 2025, subject to continued service through each vesting date.

F4 · derivative.exercise_date: The reported transactions represent the accelerated vesting of certain of the reporting person's equity awards outstanding under the issuer's 2018 Equity Incentive Plan, in connection with his separation and transition from his position with the issuer, as previously reported by the issuer in its Current Report filed with the Securities and Exchange Commission on Form 8-K on March 13, 2025.

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May 15, 2025 Filed May 19, 2025 16:11 UTC
ALBINI EDWARD CCFO AND SECRETARY
Tax withholdingCommon Stock 15,995 $0.88 $14,075.60
Disclosure

SEC source: 0001415889-25-013618 · form4-05192025_080539.xml · nonDerivative · entry 4

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,805

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 restricted stock units; does not represent a sale by the reporting person.

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May 15, 2025 Filed May 19, 2025 16:11 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionCommon Stock 9,125 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-013618 · form4-05192025_080539.xml · nonDerivative · entry 3

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,800

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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May 15, 2025 Filed May 19, 2025 16:11 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionCommon Stock 11,156 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-013618 · form4-05192025_080539.xml · nonDerivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,675

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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May 15, 2025 Filed May 19, 2025 16:11 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionCommon Stock 24,438 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-013618 · form4-05192025_080539.xml · nonDerivative · entry 1

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,519

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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May 01, 2025 Filed May 5, 2025 21:45 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 15,938 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-011996 · form4-05052025_090507.xml · derivative · entry 5

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,812

Underlying: Common Stock · 15,938 shares

Expires 2028-03-01

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.

F4 · derivative.exercise_date: The reported transactions represent the accelerated vesting of certain of the reporting person's equity awards outstanding under the issuer's 2018 Equity Incentive Plan and 2021 Equity Inducement Plan, in connection with her separation and transition from her position with the issuer, as previously reported by the issuer in its Current Report filed with the Securities and Exchange Commission on Form 8-K on March 13, 2025.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total award annually beginning on March 1, 2025, subject to continued service through each vesting date.

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May 01, 2025 Filed May 5, 2025 21:45 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 53,125 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-011996 · form4-05052025_090507.xml · derivative · entry 4

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,875

Underlying: Common Stock · 53,125 shares

Expires 2027-02-28

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 RSU award vests as to 1/4th of the total award annually on the last calendar day of February, beginning on February 29, 2024, subject to continued service through each vesting date.

F4 · derivative.exercise_date: The reported transactions represent the accelerated vesting of certain of the reporting person's equity awards outstanding under the issuer's 2018 Equity Incentive Plan and 2021 Equity Inducement Plan, in connection with her separation and transition from her position with the issuer, as previously reported by the issuer in its Current Report filed with the Securities and Exchange Commission on Form 8-K on March 13, 2025.

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May 01, 2025 Filed May 5, 2025 21:45 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Tax withholdingCommon Stock 24,709 $1.07 $26,438.63
Disclosure

SEC source: 0001415889-25-011996 · form4-05052025_090507.xml · nonDerivative · entry 3

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,452

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 restricted stock units; does not represent a sale by the reporting person.

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May 01, 2025 Filed May 5, 2025 21:45 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionCommon Stock 15,938 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-011996 · form4-05052025_090507.xml · nonDerivative · entry 2

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,161

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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May 01, 2025 Filed May 5, 2025 21:45 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionCommon Stock 53,125 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-011996 · form4-05052025_090507.xml · nonDerivative · entry 1

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,223

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
May 01, 2025 Filed May 5, 2025 17:48 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,844 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-011998 · form4-05052025_090517.xml · derivative · entry 10

FITZPATRICK LINDA A · CIK 0001188953 · CHIEF PEOPLE & COMM. OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,531

Underlying: Common Stock · 5,844 shares

Expires 2028-03-01

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.

F5 · derivative.exercise_date: The reported transaction represents the accelerated vesting of certain of the reporting person's equity awards outstanding under the issuer's 2018 Equity Incentive Plan, in connection with her separation and transition from her position with the issuer.

F7 · derivative.exercise_date: The RSUs vest as to 1/4th of the total award annually beginning on March 1, 2025, subject to continued service through each vesting date.

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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.