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STRO

SUTRO BIOPHARMA, INC.

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5797
SEC CIK
0001382101
Parsed reports
335

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
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Insider transactions

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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, 2024 Filed Mar 5, 2024 16:29 UTC
ALBINI EDWARD CCFO AND SECRETARY
Tax withholdingCommon Stock 3,227 $4.95 $15,973.65
Disclosure

SEC source: 0001415889-24-006651 · form4-03052024_090359.xml · nonDerivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,440

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, 2024 Filed Mar 5, 2024 16:29 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionCommon Stock 7,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006651 · form4-03052024_090359.xml · nonDerivative · entry 1

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,667

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, 2024 Filed Mar 5, 2024 16:36 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 6,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006712 · form4-03052024_090313.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,625

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

Read SEC document
March 01, 2024 Filed Mar 5, 2024 16:36 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Tax withholdingCommon Stock 2,511 $4.95 $12,429.45
Disclosure

SEC source: 0001415889-24-006712 · form4-03052024_090313.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,924

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, 2024 Filed Mar 5, 2024 16:36 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionCommon Stock 6,875 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006712 · form4-03052024_090313.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,435

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, 2024 Filed Mar 5, 2024 16:40 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 23,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006725 · form4-03052024_090358.xml · derivative · entry 4

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,250

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

Read SEC document
March 01, 2024 Filed Mar 5, 2024 16:40 UTC
NEWELL WILLIAM JDirector · CEO
Tax withholdingCommon Stock 8,559 $4.95 $42,367.05
Disclosure

SEC source: 0001415889-24-006725 · form4-03052024_090358.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 188,123

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, 2024 Filed Mar 5, 2024 16:40 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionCommon Stock 23,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006725 · form4-03052024_090358.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,682

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, 2024 Filed Mar 5, 2024 21:45 UTC
Srinivasan VenkateshCHIEF TECH OP OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006738 · form4-03052024_090304.xml · derivative · entry 3

Srinivasan Venkatesh · CIK 0001974888 · CHIEF TECH OP OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

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

Read SEC document
March 01, 2024 Filed Mar 5, 2024 21:45 UTC
Srinivasan VenkateshCHIEF TECH OP OFFICER
Tax withholdingCommon Stock 2,049 $4.95 $10,142.55
Disclosure

SEC source: 0001415889-24-006738 · form4-03052024_090304.xml · nonDerivative · entry 2

Srinivasan Venkatesh · CIK 0001974888 · CHIEF TECH OP OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,454

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, 2024 Filed Mar 5, 2024 21:45 UTC
Srinivasan VenkateshCHIEF TECH OP OFFICER
Exercise / conversionCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006738 · form4-03052024_090304.xml · nonDerivative · entry 1

Srinivasan Venkatesh · CIK 0001974888 · CHIEF TECH OP OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,503

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 29, 2024 Filed Mar 4, 2024 21:15 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 37,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006267 · form4-03042024_090339.xml · derivative · entry 3

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,500

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 29, 2024 Filed Mar 4, 2024 21:15 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Tax withholdingCommon Stock 13,126 $4.91 $64,448.66
Disclosure

SEC source: 0001415889-24-006267 · form4-03042024_090339.xml · nonDerivative · entry 2

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,374

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 29, 2024 Filed Mar 4, 2024 21:15 UTC
Borgman Anne ElizabethCHIEF MEDICAL OFFICER
Exercise / conversionCommon Stock 37,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-006267 · form4-03042024_090339.xml · nonDerivative · entry 1

Borgman Anne Elizabeth · CIK 0001886388 · CHIEF MEDICAL 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.

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:23 UTC
Vasquez NickiCHIEF PORT. STRAT & ALNCE OFCR
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 2,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002065 · form4-01312024_090124.xml · derivative · entry 4

Vasquez Nicki · CIK 0001877585 · CHIEF PORT. STRAT & ALNCE OFCR

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2024-01-29

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

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

F4 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:23 UTC
Vasquez NickiCHIEF PORT. STRAT & ALNCE OFCR
Tax withholdingCommon Stock 1,024 $4.99 $5,109.76
Disclosure

SEC source: 0001415889-24-002065 · form4-01312024_090124.xml · nonDerivative · entry 3

Vasquez Nicki · CIK 0001877585 · CHIEF PORT. STRAT & ALNCE OFCR

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,279

F2 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:23 UTC
Vasquez NickiCHIEF PORT. STRAT & ALNCE OFCR
Exercise / conversionCommon Stock 2,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002065 · form4-01312024_090124.xml · nonDerivative · entry 2

Vasquez Nicki · CIK 0001877585 · CHIEF PORT. STRAT & ALNCE OFCR

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,303

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

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:23 UTC
Vasquez NickiCHIEF PORT. STRAT & ALNCE OFCR
SaleCommon Stock 12,185 $5.00 $60,925.00
Disclosure

SEC source: 0001415889-24-002065 · form4-01312024_090124.xml · nonDerivative · entry 1

Vasquez Nicki · CIK 0001877585 · CHIEF PORT. STRAT & ALNCE OFCR

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,803

F1 · kind: This transaction was entered into pursuant to a Rule 10b5-1 plan adopted by the reporting person on June 29, 2023.

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:28 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 5,250 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002071 · form4-01312024_090157.xml · derivative · entry 3

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,250 shares

Expires 2024-01-29

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

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

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

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:28 UTC
ALBINI EDWARD CCFO AND SECRETARY
Tax withholdingCommon Stock 2,151 $4.99 $10,733.49
Disclosure

SEC source: 0001415889-24-002071 · form4-01312024_090157.xml · nonDerivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,792

F1 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:28 UTC
ALBINI EDWARD CCFO AND SECRETARY
Exercise / conversionCommon Stock 5,250 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002071 · form4-01312024_090157.xml · nonDerivative · entry 1

ALBINI EDWARD C · CIK 0001240014 · CFO AND SECRETARY

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,943

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

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:25 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 8,250 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002067 · form4-01312024_090153.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,250 shares

Expires 2024-01-29

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

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

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

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:25 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Tax withholdingCommon Stock 3,380 $4.99 $16,866.20
Disclosure

SEC source: 0001415889-24-002067 · form4-01312024_090153.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,560

F1 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:25 UTC
FITZPATRICK LINDA ACHIEF PEOPLE & COMM. OFFICER
Exercise / conversionCommon Stock 8,250 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002067 · form4-01312024_090153.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,940

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

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:29 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 13,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002072 · form4-01312024_090125.xml · derivative · entry 4

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,750 shares

Expires 2024-01-29

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

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

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

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:29 UTC
NEWELL WILLIAM JDirector · CEO
Tax withholdingCommon Stock 5,634 $4.99 $28,113.66
Disclosure

SEC source: 0001415889-24-002072 · form4-01312024_090125.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,932

F1 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

Read SEC document
January 29, 2024 Filed Jan 31, 2024 16:29 UTC
NEWELL WILLIAM JDirector · CEO
Exercise / conversionCommon Stock 13,750 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-002072 · form4-01312024_090125.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 178,566

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, 2023 Filed Dec 4, 2023 16:19 UTC
Chung JanePresident and COO
GrantRestricted Stock Unit (RSU) · Derivative 100,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-057206 · doc4.xml · derivative · entry 2

Chung Jane · CIK 0001872398 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-12-01

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, 2023 Filed Dec 4, 2023 16:19 UTC
Chung JanePresident and COO
GrantStock Option (right to buy) · Derivative 35,000 $0.00 Strike: $2.75 $0.00
Disclosure

SEC source: 0001209191-23-057206 · doc4.xml · derivative · entry 1

Chung Jane · CIK 0001872398 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-12-01

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on January 1, 2024, with 100% of the total shares vested and exercisable on December 1, 2027, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
September 18, 2023 Filed Sep 19, 2023 16:19 UTC
Gerber Hans-PeterChief Scientific Officer
GrantRestricted Stock Unit (RSU) · Derivative 150,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-049943 · doc4.xml · derivative · entry 2

Gerber Hans-Peter · CIK 0001992979 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-09-18

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, 2023 Filed Sep 19, 2023 16:19 UTC
Gerber Hans-PeterChief Scientific Officer
GrantStock Option (right to buy) · Derivative 175,000 $0.00 Strike: $3.77 $0.00
Disclosure

SEC source: 0001209191-23-049943 · doc4.xml · derivative · entry 1

Gerber Hans-Peter · CIK 0001992979 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2033-09-18

F1 · derivative.exercise_date: 25% of the option award vests on September 18, 2024. 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.

Read SEC document
August 28, 2023 Filed Aug 29, 2023 20:40 UTC
Shtylla BrunildaChief Business Officer
SaleCommon Stock 15,428 $4.71 $72,594.91
Disclosure

SEC source: 0001209191-23-047608 · doc4.xml · nonDerivative · entry 1

Shtylla Brunilda · CIK 0001966915 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.635 to $4.745, 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 ranges set forth in this footnote.

F2 · balance_after: The total number of shares of the Issuer's Common Stock owned before giving effect to the reported sale included 2,500 shares previously acquired pursuant to the Issuer's Employee Stock Purchase Plan in one or more transactions that are exempt pursuant to Rules 16b-3(c) and 16b-3(d).

Read SEC document
August 25, 2023 Filed Aug 28, 2023 20:18 UTC
Shtylla BrunildaChief Business Officer
SaleCommon Stock 11,613 $4.59 $53,281.61
Disclosure

SEC source: 0001209191-23-047512 · doc4.xml · nonDerivative · entry 1

Shtylla Brunilda · CIK 0001966915 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,928

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.58 to $4.615, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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August 09, 2023 Filed Aug 11, 2023 16:16 UTC
Chung JaneChief Commercial Officer
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 18,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-045434 · doc4.xml · derivative · entry 3

Chung Jane · CIK 0001872398 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

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 vest as to 1/4th of the total shares 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, 2023 Filed Aug 11, 2023 16:16 UTC
Chung JaneChief Commercial Officer
Tax withholdingCommon Stock 6,483 $4.22 $27,358.26
Disclosure

SEC source: 0001209191-23-045434 · doc4.xml · nonDerivative · entry 2

Chung Jane · CIK 0001872398 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,698

F1 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

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August 09, 2023 Filed Aug 11, 2023 16:16 UTC
Chung JaneChief Commercial Officer
Exercise / conversionCommon Stock 18,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-045434 · doc4.xml · nonDerivative · entry 1

Chung Jane · CIK 0001872398 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,181

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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July 12, 2023 Filed Jul 13, 2023 18:40 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
Exercise / conversionRestricted Stock Unit (RSU) · Derivative 3,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-042244 · doc4.xml · derivative · entry 3

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 3,250 shares

Expires 2025-07-12

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 July 12, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

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July 12, 2023 Filed Jul 13, 2023 18:40 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
Tax withholdingCommon Stock 1,123 $4.70 $5,278.10
Disclosure

SEC source: 0001209191-23-042244 · doc4.xml · nonDerivative · entry 2

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,988

F1 · shares: Represents the number of shares of Common Stock that have been withheld by the issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of the RSUs and does not represent a sale by the reporting person.

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July 12, 2023 Filed Jul 13, 2023 18:40 UTC
Vasquez NickiChief Port. Strat & Alnce Ofcr
Exercise / conversionCommon Stock 3,250 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-042244 · doc4.xml · nonDerivative · entry 1

Vasquez Nicki · CIK 0001877585 · Chief Port. Strat & Alnce Ofcr

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,111

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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June 27, 2023 Filed Jun 29, 2023 18:28 UTC GiftCommon Stock 18,409 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-040213 · doc4.xml · nonDerivative · entry 2

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Daniel H. Petree and Susan Toeniskoetter Trust dated July 25, 1997

Disclosed balance after: 18,601

F1 · ownership.nature: These securities are held of record by the reporting person and his spouse as trustees of the Daniel H. Petree and Susan M. Toeniskoetter Trust dated July 25, 1997.

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June 27, 2023 Filed Jun 29, 2023 18:28 UTC GiftCommon Stock 18,409 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-040213 · doc4.xml · nonDerivative · entry 1

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,856

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June 08, 2023 Filed Jun 12, 2023 22:32 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001209191-23-036467 · doc4.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 8, 2023, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2024 annual stockholders meeting or June 8, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 08, 2023 Filed Jun 12, 2023 18:39 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001209191-23-036473 · doc4.xml · derivative · entry 1

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 8, 2023, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2024 annual stockholders meeting or June 8, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 08, 2023 Filed Jun 12, 2023 22:38 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001209191-23-036471 · doc4.xml · derivative · entry 1

MATSUI CONNIE · CIK 0001236537 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 8, 2023, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2024 annual stockholders meeting or June 8, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 08, 2023 Filed Jun 12, 2023 18:38 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001209191-23-036472 · doc4.xml · derivative · entry 1

PANEK JAMES P · CIK 0001217412 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 8, 2023, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2024 annual stockholders meeting or June 8, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 08, 2023 Filed Jun 12, 2023 22:51 UTC
Hunter HeidiDirector
GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001209191-23-036479 · doc4.xml · derivative · entry 1

Hunter Heidi · CIK 0001891841 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 8, 2023, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2024 annual stockholders meeting or June 8, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 08, 2023 Filed Jun 12, 2023 22:37 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001209191-23-036470 · doc4.xml · derivative · entry 1

Lobacki Joseph M · CIK 0001536193 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 8, 2023, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2024 annual stockholders meeting or June 8, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 08, 2023 Filed Jun 12, 2023 22:40 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001209191-23-036474 · doc4.xml · derivative · entry 1

Wigginton Jon Marc · CIK 0001587487 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 8, 2023, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2024 annual stockholders meeting or June 8, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

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June 08, 2023 Filed Jun 12, 2023 22:30 UTC GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $5.12 $0.00
Disclosure

SEC source: 0001209191-23-036466 · doc4.xml · derivative · entry 1

Dybbs Michael · CIK 0001601264 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The option vests as to 8.33% of the total shares monthly, commencing July 8, 2023, with 100% of the total shares vested and exercisable on the earlier of the issuer's 2024 annual stockholders meeting or June 8, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

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May 01, 2023 Filed May 2, 2023 22:51 UTC
Srinivasan VenkateshChief Tech Op Officer
GrantRestricted Stock Unit (RSU) · Derivative 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026736 · doc4.xml · derivative · entry 2

Srinivasan Venkatesh · CIK 0001974888 · Chief Tech Op Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common · 10,000 shares

Expires 2027-05-01

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 May 1, 2024, 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.