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Nasdaq · USD

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
March 01, 2025 Filed Mar 4, 2025 22:57 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionCommon Stock 11,250 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006655 · form4-03042025_100306.xml · nonDerivative · entry 3

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,719

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
March 01, 2025 Filed Mar 4, 2025 18:42 UTC
Chung JanePRESIDENT AND COO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006712 · form4-03042025_110302.xml · derivative · entry 5

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 25,000 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 RSUs vest as to 1/4th of the total award annually beginning on March 1, 2025, subject to continued service through each vesting date.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:42 UTC
Chung JanePRESIDENT AND COO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006712 · form4-03042025_110302.xml · derivative · entry 4

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,750

Underlying: Common Stock · 6,875 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.

F3 · 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.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:42 UTC
Chung JanePRESIDENT AND COO
Tax withholdingCommon Stock 9,450 $1.59 $15,025.50
Disclosure

SEC source: 0001415889-25-006712 · form4-03042025_110302.xml · nonDerivative · entry 3

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,767

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
March 01, 2025 Filed Mar 4, 2025 18:42 UTC
Chung JanePRESIDENT AND COO
Exercise / conversionCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006712 · form4-03042025_110302.xml · nonDerivative · entry 2

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,217

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
March 01, 2025 Filed Mar 4, 2025 18:42 UTC
Chung JanePRESIDENT AND COO
Exercise / conversionCommon Stock 6,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006712 · form4-03042025_110302.xml · nonDerivative · entry 1

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,217

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
March 01, 2025 Filed Mar 4, 2025 18:44 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 17,250 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006714 · form4-03042025_110314.xml · derivative · entry 5

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,750

Underlying: Common Stock · 17,250 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 RSUs vest as to 1/4th of the total award annually beginning on March 1, 2025, subject to continued service through each vesting date.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:44 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 7,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006714 · form4-03042025_110314.xml · derivative · entry 4

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,750

Underlying: Common Stock · 7,875 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.

F3 · 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.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:44 UTC
ALBINI EDWARD CCFO AND SECRETARY
Tax withholdingCommon Stock 10,320 $1.59 $16,408.80
Disclosure

SEC source: 0001415889-25-006714 · form4-03042025_110314.xml · nonDerivative · entry 3

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,548

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
March 01, 2025 Filed Mar 4, 2025 18:44 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionCommon Stock 17,250 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006714 · form4-03042025_110314.xml · nonDerivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,868

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
March 01, 2025 Filed Mar 4, 2025 18:44 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionCommon Stock 7,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006714 · form4-03042025_110314.xml · nonDerivative · entry 1

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,618

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
March 01, 2025 Filed Mar 4, 2025 18:40 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,400 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006709 · form4-03042025_110358.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,200

Underlying: Common Stock · 13,400 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 RSUs vest as to 1/4th of the total award annually beginning on March 1, 2025, subject to continued service through each vesting date. Note that this transaction represents the aggregate vesting of RSU awards made on March 5, 2024 for 37,100 RSUs and on March 7, 2024 for 16,500 RSUs. The vesting events are reported on this Form 4 on an aggregate basis because both derivative instruments bear identical characteristics, including vesting schedules and expiration dates, and may be settled for the same class of security.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:40 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006709 · form4-03042025_110358.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,750

Underlying: Common Stock · 6,875 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.

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 March 1, 2024, subject to continued service through each vesting date.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:40 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Tax withholdingCommon Stock 8,327 $1.59 $13,239.93
Disclosure

SEC source: 0001415889-25-006709 · form4-03042025_110358.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,900

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
March 01, 2025 Filed Mar 4, 2025 18:40 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionCommon Stock 13,400 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006709 · form4-03042025_110358.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,227

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
March 01, 2025 Filed Mar 4, 2025 18:40 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionCommon Stock 6,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006709 · form4-03042025_110358.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,827

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
March 01, 2025 Filed Mar 4, 2025 18:32 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 41,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006690 · form4-03042025_110305.xml · derivative · entry 6

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,250

Underlying: Common Stock · 41,750 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 RSUs vest as to 1/4th of the total award annually beginning on March 1, 2025, subject to continued service through each vesting date.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:32 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 23,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006690 · form4-03042025_110305.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,500

Underlying: Common Stock · 23,750 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.

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 March 1, 2024, subject to continued service through each vesting date.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 18:32 UTC
NEWELL WILLIAM JDirector · CEO
Tax withholdingCommon Stock 25,203 $1.59 $40,072.77
Disclosure

SEC source: 0001415889-25-006690 · form4-03042025_110305.xml · nonDerivative · entry 3

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 260,500

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
March 01, 2025 Filed Mar 4, 2025 18:32 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionCommon Stock 41,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006690 · form4-03042025_110305.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 285,703

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
March 01, 2025 Filed Mar 4, 2025 18:32 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionCommon Stock 23,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006690 · form4-03042025_110305.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,953

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
March 01, 2025 Filed Mar 4, 2025 22:58 UTC
Srinivasan VenkateshCHIEF TECH OP OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,375 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006656 · form4-03042025_100339.xml · derivative · entry 5

Srinivasan Venkatesh · CIK 0001974888 · CHIEF TECH OP OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,125

Underlying: Common Stock · 6,375 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 RSUs vest as to 1/4th of the total award annually beginning on March 1, 2025, subject to continued service through each vesting date.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 22:58 UTC
Srinivasan VenkateshCHIEF TECH OP OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006656 · form4-03042025_100339.xml · derivative · entry 4

Srinivasan Venkatesh · CIK 0001974888 · CHIEF TECH OP OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 5,000 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.

F3 · 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.

Read SEC document
March 01, 2025 Filed Mar 4, 2025 22:58 UTC
Srinivasan VenkateshCHIEF TECH OP OFFICER
Tax withholdingCommon Stock 4,672 $1.59 $7,428.48
Disclosure

SEC source: 0001415889-25-006656 · form4-03042025_100339.xml · nonDerivative · entry 3

Srinivasan Venkatesh · CIK 0001974888 · CHIEF TECH OP OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,433

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
March 01, 2025 Filed Mar 4, 2025 22:58 UTC
Srinivasan VenkateshCHIEF TECH OP OFFICER
Exercise / conversionCommon Stock 6,375 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006656 · form4-03042025_100339.xml · nonDerivative · entry 2

Srinivasan Venkatesh · CIK 0001974888 · CHIEF TECH OP OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,105

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
March 01, 2025 Filed Mar 4, 2025 22:58 UTC
Srinivasan VenkateshCHIEF TECH OP OFFICER
Exercise / conversionCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006656 · form4-03042025_100339.xml · nonDerivative · entry 1

Srinivasan Venkatesh · CIK 0001974888 · CHIEF TECH OP OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,730

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
February 28, 2025 Filed Mar 4, 2025 22:57 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 37,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006655 · form4-03042025_100306.xml · derivative · entry 5

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 37,500 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.

Read SEC document
February 28, 2025 Filed Mar 4, 2025 22:57 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Tax withholdingCommon Stock 15,405 $1.59 $24,493.95
Disclosure

SEC source: 0001415889-25-006655 · form4-03042025_100306.xml · nonDerivative · entry 2

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,469

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
February 28, 2025 Filed Mar 4, 2025 22:57 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-006655 · form4-03042025_100306.xml · nonDerivative · entry 1

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,874

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 01, 2024 Filed Dec 3, 2024 16:09 UTC
Chung JanePRESIDENT AND COO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-028066 · form4-12032024_091242.xml · derivative · entry 3

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 25,000 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 (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 December 1, 2024, subject to continued service through each vesting date.

Read SEC document
December 01, 2024 Filed Dec 3, 2024 16:09 UTC
Chung JanePRESIDENT AND COO
Tax withholdingCommon Stock 8,920 $2.69 $23,994.80
Disclosure

SEC source: 0001415889-24-028066 · form4-12032024_091242.xml · nonDerivative · entry 2

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,342

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
December 01, 2024 Filed Dec 3, 2024 16:09 UTC
Chung JanePRESIDENT AND COO
Exercise / conversionCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-028066 · form4-12032024_091242.xml · nonDerivative · entry 1

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,262

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, 2024 Filed Sep 20, 2024 16:09 UTC
Gerber Hans-PeterCHIEF SCIENTIFIC OFFICER
Exercise / conversionRestricted Stock Units (RSUs) · Derivative 37,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-023745 · form4-09202024_080944.xml · derivative · entry 3

Gerber Hans-Peter · CIK 0001992979 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,500

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, 2024 Filed Sep 20, 2024 16:09 UTC
Gerber Hans-PeterCHIEF SCIENTIFIC OFFICER
Tax withholdingCommon Stock 13,380 $3.95 $52,851.00
Disclosure

SEC source: 0001415889-24-023745 · form4-09202024_080944.xml · nonDerivative · entry 2

Gerber Hans-Peter · CIK 0001992979 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,120

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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September 18, 2024 Filed Sep 20, 2024 16:09 UTC
Gerber Hans-PeterCHIEF SCIENTIFIC OFFICER
Exercise / conversionCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-023745 · form4-09202024_080944.xml · nonDerivative · entry 1

Gerber Hans-Peter · CIK 0001992979 · CHIEF SCIENTIFIC OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

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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August 09, 2024 Filed Aug 13, 2024 16:16 UTC
Chung JanePRESIDENT AND COO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 18,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-021157 · form4-08132024_080852.xml · derivative · entry 3

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,750

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.

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August 09, 2024 Filed Aug 13, 2024 16:16 UTC
Chung JanePRESIDENT AND COO
Tax withholdingCommon Stock 6,689 $3.12 $20,869.68
Disclosure

SEC source: 0001415889-24-021157 · form4-08132024_080852.xml · nonDerivative · entry 2

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,262

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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August 09, 2024 Filed Aug 13, 2024 16:16 UTC
Chung JanePRESIDENT AND COO
Exercise / conversionCommon Stock 18,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-021157 · form4-08132024_080852.xml · nonDerivative · entry 1

Chung Jane · CIK 0001872398 · PRESIDENT AND COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,951

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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August 08, 2024 Filed Aug 12, 2024 20:40 UTC
Jagpal SukhiDirector
GrantStock Option (Right to Buy) · Derivative 28,959 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0001415889-24-021089 · form4-08122024_080817.xml · derivative · entry 2

Jagpal Sukhi · CIK 0001554591 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,959

Underlying: Common Stock · 28,959 shares

Expires 2034-08-08

F2 · derivative.exercise_date: The option vests as to 10.07% of the total award monthly beginning on September 8, 2024 through May 8, 2025, and 9.38% shall vest on June 6, 2025, with 100% of the award being vested and exercisable on the date of the issuer's 2025 annual meeting of its stockholders, subject to the reporting person's provision of service to the issuer on each vesting date.

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August 08, 2024 Filed Aug 12, 2024 20:40 UTC
Jagpal SukhiDirector
GrantStock Option (Right to Buy) · Derivative 35,000 $0.00 Strike: $3.22 $0.00
Disclosure

SEC source: 0001415889-24-021089 · form4-08122024_080817.xml · derivative · entry 1

Jagpal Sukhi · CIK 0001554591 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-08-08

F1 · derivative.exercise_date: The option vests as to 2.778% of the total award monthly, beginning on September 8, 2024, with 100% of the award being vested and exercisable on August 8, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

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July 08, 2024 Filed Jul 10, 2024 16:11 UTC
Leyman BarbaraChief Business Dev. Officer
GrantRestricted Stock Units (RSUs) · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-019462 · form4-07102024_080725.xml · derivative · entry 2

Leyman Barbara · CIK 0002028309 · Chief Business Dev. Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-07-08

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.

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July 08, 2024 Filed Jul 10, 2024 16:11 UTC
Leyman BarbaraChief Business Dev. Officer
GrantStock Option (Right to Buy Common Stock) · Derivative 125,000 $0.00 Strike: $3.04 $0.00
Disclosure

SEC source: 0001415889-24-019462 · form4-07102024_080725.xml · derivative · entry 1

Leyman Barbara · CIK 0002028309 · Chief Business Dev. Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-07-08

F1 · derivative.exercise_date: The option vests as to 25% of the total award on July 8, 2025, then in equal monthly installments over the following three years, subject to the reporting person's continued service to the issuer on each vesting date.

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June 06, 2024 Filed Jun 10, 2024 20:21 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.76 $0.00
Disclosure

SEC source: 0001415889-24-016209 · form4-06102024_080606.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total award monthly, commencing July 6, 2024, with 100% of the award vested and exercisable on the earlier of the date of the issuer's 2025 annual stockholders meeting or June 6, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 06, 2024 Filed Jun 10, 2024 16:29 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.76 $0.00
Disclosure

SEC source: 0001415889-24-016227 · form4-06102024_080652.xml · derivative · entry 1

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total award monthly, commencing July 6, 2024, with 100% of the award vested and exercisable on the earlier of the date of the issuer's 2025 annual stockholders meeting or June 6, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 06, 2024 Filed Jun 10, 2024 20:26 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.76 $0.00
Disclosure

SEC source: 0001415889-24-016219 · form4-06102024_080611.xml · derivative · entry 1

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total award monthly, commencing July 6, 2024, with 100% of the award vested and exercisable on the earlier of the date of the issuer's 2025 annual stockholders meeting or June 6, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 06, 2024 Filed Jun 10, 2024 16:28 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.76 $0.00
Disclosure

SEC source: 0001415889-24-016223 · form4-06102024_080628.xml · derivative · entry 1

PANEK JAMES P · CIK 0001217412 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total award monthly, commencing July 6, 2024, with 100% of the award vested and exercisable on the earlier of the date of the issuer's 2025 annual stockholders meeting or June 6, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 06, 2024 Filed Jun 10, 2024 20:31 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.76 $0.00
Disclosure

SEC source: 0001415889-24-016228 · form4-06102024_080603.xml · derivative · entry 1

Wigginton Jon Marc · CIK 0001587487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total award monthly, commencing July 6, 2024, with 100% of the award vested and exercisable on the earlier of the date of the issuer's 2025 annual stockholders meeting or June 6, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 06, 2024 Filed Jun 10, 2024 20:24 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.76 $0.00
Disclosure

SEC source: 0001415889-24-016216 · form4-06102024_080623.xml · derivative · entry 1

Lobacki Joseph M · CIK 0001536193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total award monthly, commencing July 6, 2024, with 100% of the award vested and exercisable on the earlier of the date of the issuer's 2025 annual stockholders meeting or June 6, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 06, 2024 Filed Jun 10, 2024 20:22 UTC
Hunter HeidiDirector
GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.76 $0.00
Disclosure

SEC source: 0001415889-24-016211 · form4-06102024_080615.xml · derivative · entry 1

Hunter Heidi · CIK 0001891841 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total award monthly, commencing July 6, 2024, with 100% of the award vested and exercisable on the earlier of the date of the issuer's 2025 annual stockholders meeting or June 6, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 06, 2024 Filed Jun 10, 2024 20:19 UTC GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $3.76 $0.00
Disclosure

SEC source: 0001415889-24-016204 · form4-06102024_080625.xml · derivative · entry 1

Dybbs Michael · CIK 0001601264 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2034-06-06

F1 · derivative.exercise_date: The option vests as to 8.33% of the total award monthly, commencing July 6, 2024, with 100% of the award vested and exercisable on the earlier of the date of the issuer's 2025 annual stockholders meeting or June 6, 2025, subject to the reporting person's provision of service to the issuer on 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.