organization · Reporting owner

SV LIFE SCIENCES FUND V LP

Disclosed activity across 3 companies

Tapewire entity: 157095
SEC CIK: 0001460732

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
BICYCLE THERAPEUTICS PLCBCYC · Entity 5993	10% owner	May 28, 2019	May 30, 2019
X4 Pharmaceuticals, IncASNS · Entity 5638	10% owner	November 20, 2017	November 20, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

BICYCLE THERAPEUTICS PLC

Report date May 28, 2019 · Filed May 30, 2019

Jointly reported with SVLSF V, LLC, SV Life Sciences Fund V (GP), LP, SV Life Sciences Fund V Strategic Partners, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary SharesSEC Table I · non-derivative	IndirectBy SV Life Sciences Fund V, L.P.	1,875,637	Last balance in matching sequence After 2019-05-28 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2019-05-28 · Conversion · Acquired 874,709 · Balance 874,709 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Row 2 · 2019-05-28 · Conversion · Acquired 623,196 · Balance 1,497,905 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Row 5 · 2019-05-28 · Purchase · Acquired 377,732 · Balance 1,875,637 F2: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Ordinary SharesSEC Table I · non-derivative	IndirectBy SV Life Sciences Fund V Strategic Partners. L.P.	39,637	Last balance in matching sequence After 2019-05-28 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 3 · 2019-05-28 · Conversion · Acquired 18,485 · Balance 18,485 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F3: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein Row 4 · 2019-05-28 · Conversion · Acquired 13,169 · Balance 31,654 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F3: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein Row 6 · 2019-05-28 · Purchase · Acquired 7,983 · Balance 39,637 F3: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein
Series A Preferred SharesSEC Table II · derivative / convertible security	IndirectBy SV Life Sciences Fund V, L.P.	0	Reported balance After 2019-05-28 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2019-05-28 · Conversion · Disposed 874,709 · Balance 0 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series B1 Preferred SharesSEC Table II · derivative / convertible security	IndirectBy SV Life Sciences Fund V, L.P.	0	Reported balance After 2019-05-28 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2019-05-28 · Conversion · Disposed 623,196 · Balance 0 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series A Preferred SharesSEC Table II · derivative / convertible security	IndirectBy SV Life Sciences Fund V Strategic Partners. L.P.	0	Reported balance After 2019-05-28 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2019-05-28 · Conversion · Disposed 18,485 · Balance 0 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F3: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein
Series B1 Preferred SharesSEC Table II · derivative / convertible security	IndirectBy SV Life Sciences Fund V Strategic Partners. L.P.	0	Reported balance After 2019-05-28 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2019-05-28 · Conversion · Disposed 13,169 · Balance 0 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F3: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein

Filing footnotes · ownership attribution and instrument terms

F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date.

F2: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.

F3: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein

X4 Pharmaceuticals, Inc

Report date November 20, 2017 · Filed November 20, 2017

Jointly reported with SVLSF V, LLC, SV Life Sciences Fund VI Strategic Partners, L.P., SV Life Sciences Fund VI, L.P., SV Life Sciences Fund V Strategic Partners, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	19,128	Reported balance After 2017-11-20 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-11-20 · Conversion · Acquired 19,128 · Balance 19,128 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	19,532	Reported balance After 2017-11-20 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2017-11-20 · Conversion · Acquired 404 · Balance 19,532 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	266,542	Reported balance After 2017-11-20 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2017-11-20 · Conversion · Acquired 247,010 · Balance 266,542 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	271,761	Reported balance After 2017-11-20 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2017-11-20 · Conversion · Acquired 5,219 · Balance 271,761 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	593,863	Reported balance After 2017-11-20 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2017-11-20 · Conversion · Acquired 322,102 · Balance 593,863 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	600,669	Reported balance After 2017-11-20 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2017-11-20 · Conversion · Acquired 6,806 · Balance 600,669 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	712,624	Reported balance After 2017-11-20 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 7 · 2017-11-20 · Conversion · Acquired 111,955 · Balance 712,624 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	714,989	Reported balance After 2017-11-20 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 8 · 2017-11-20 · Conversion · Acquired 2,365 · Balance 714,989 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	917,904	Reported balance After 2017-11-20 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 9 · 2017-11-20 · Conversion · Acquired 202,915 · Balance 917,904 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	922,192	Reported balance After 2017-11-20 transaction · row 10 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 10 · 2017-11-20 · Conversion · Acquired 4,288 · Balance 922,192 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	1,354,172	Reported balance After 2017-11-20 transaction · row 11 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 11 · 2017-11-20 · Conversion · Acquired 431,980 · Balance 1,354,172 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	1,368,961	Reported balance After 2017-11-20 transaction · row 12 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 12 · 2017-11-20 · Conversion · Acquired 14,789 · Balance 1,368,961 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	1,852,409	Reported balance After 2017-11-20 transaction · row 13 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 13 · 2017-11-20 · Purchase · Acquired 483,448 · Balance 1,852,409 F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	1,868,961	Reported balance After 2017-11-20 transaction · row 14 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 14 · 2017-11-20 · Purchase · Acquired 16,552 · Balance 1,868,961 F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 15 Instrument identity requires review; Table II rows are not merged. 1 source row Row 15 · 2017-11-20 · Conversion · Disposed 65,287 · Balance 0 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 16 Instrument identity requires review; Table II rows are not merged. 1 source row Row 16 · 2017-11-20 · Conversion · Disposed 1,380 · Balance 0 F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 17 Instrument identity requires review; Table II rows are not merged. 1 source row Row 17 · 2017-11-20 · Conversion · Disposed 690,259 · Balance 0 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series A-2 Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 18 Instrument identity requires review; Table II rows are not merged. 1 source row Row 18 · 2017-11-20 · Conversion · Disposed 14,587 · Balance 0 F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series B Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 19 Instrument identity requires review; Table II rows are not merged. 1 source row Row 19 · 2017-11-20 · Conversion · Disposed 721,402 · Balance 0 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series B Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 20 Instrument identity requires review; Table II rows are not merged. 1 source row Row 20 · 2017-11-20 · Conversion · Disposed 15,246 · Balance 0 F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 21 Instrument identity requires review; Table II rows are not merged. 1 source row Row 21 · 2017-11-20 · Conversion · Disposed 224,665 · Balance 0 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series C Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 22 Instrument identity requires review; Table II rows are not merged. 1 source row Row 22 · 2017-11-20 · Conversion · Disposed 4,747 · Balance 0 F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 23 Instrument identity requires review; Table II rows are not merged. 1 source row Row 23 · 2017-11-20 · Conversion · Disposed 692,552 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 24 Instrument identity requires review; Table II rows are not merged. 1 source row Row 24 · 2017-11-20 · Conversion · Disposed 14,635 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 25 Instrument identity requires review; Table II rows are not merged. 1 source row Row 25 · 2017-11-20 · Conversion · Disposed 1,474,348 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2017-11-20 transaction · row 26 Instrument identity requires review; Table II rows are not merged. 1 source row Row 26 · 2017-11-20 · Conversion · Disposed 50,477 · Balance 0 F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: The Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F2: The Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F3: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F4: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F5: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F6: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.

F7: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.

F8: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.

F9: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

SUTRO BIOPHARMA, INC.

Report date September 27, 2018 · Filed October 01, 2018

Jointly reported with SVLSF V, LLC, ILSF III, LLC, INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P., INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P., INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P., INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P., SV Life Sciences Fund V (GP), LP, SV Life Sciences Fund V Strategic Partners, L.P.

Section 16 reporting ended · disclosed 2018-10-01. Current position is not established by this disclosure.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein.

F3: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F5: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.

F6: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F7: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F8: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein.

F9: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F10: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

Transaction history

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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 date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionSeries B1 Preferred Shares · Derivative	13,169	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-032917 · a4.xml · derivative · entry 10 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners. L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 13,169 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F3 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionSeries A Preferred Shares · Derivative	18,485	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-032917 · a4.xml · derivative · entry 9 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners. L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 18,485 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F3 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionSeries B1 Preferred Shares · Derivative	623,196	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-032917 · a4.xml · derivative · entry 8 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 623,196 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.underlying: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionSeries A Preferred Shares · Derivative	874,709	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-032917 · a4.xml · derivative · entry 7 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 0 Underlying: Ordinary Shares · 874,709 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	PurchaseOrdinary Shares	7,983	$14.00	$111,762.00	Disclosure SEC source: 0001104659-19-032917 · a4.xml · nonDerivative · entry 6 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners. L.P. Disclosed balance after: 39,637 F3 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	PurchaseOrdinary Shares	377,732	$14.00	$5,288,248.00	Disclosure SEC source: 0001104659-19-032917 · a4.xml · nonDerivative · entry 5 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 1,875,637 F2 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionOrdinary Shares	13,169	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-032917 · a4.xml · nonDerivative · entry 4 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners. L.P. Disclosed balance after: 31,654 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F3 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionOrdinary Shares	18,485	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-032917 · a4.xml · nonDerivative · entry 3 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners. L.P. Disclosed balance after: 18,485 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F3 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionOrdinary Shares	623,196	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-032917 · a4.xml · nonDerivative · entry 2 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 1,497,905 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
May 28, 2019 Filed May 30, 2019 21:26 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionOrdinary Shares	874,709	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-19-032917 · a4.xml · nonDerivative · entry 1 SVLSF V, LLC · CIK 0001644160 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 874,709 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries E Preferred Stock · Derivative	193,492	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 36 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 5,320 shares Expires not disclosed 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. F7 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F8 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries D Preferred Stock · Derivative	141,249	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 35 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 5,721 shares Expires not disclosed 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. F6 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F8 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries C Preferred Stock · Derivative	194,786	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 34 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 7,207 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F8 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries E Preferred Stock · Derivative	9,155,794	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 33 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 0 Underlying: Common Stock · 251,783 shares Expires not disclosed 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. F7 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F7 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries D Preferred Stock · Derivative	6,683,697	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 32 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 0 Underlying: Common Stock · 270,690 shares Expires not disclosed 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. F6 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F6 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries C Preferred Stock · Derivative	9,217,015	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 31 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 0 Underlying: Common Stock · 341,030 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries C Preferred Stock · Derivative	52,183	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 30 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,931 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries B Preferred Stock · Derivative	106,019	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 29 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 6,128 shares Expires not disclosed 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 share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries A Preferred Stock · Derivative	17,533	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 28 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 0 Underlying: Common Stock · 758 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries C Preferred Stock · Derivative	5,462,550	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 27 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 0 Underlying: Common Stock · 202,115 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries B Preferred Stock · Derivative	11,097,596	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 26 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 0 Underlying: Common Stock · 641,440 shares Expires not disclosed 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 share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries A Preferred Stock · Derivative	1,835,270	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 25 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 0 Underlying: Common Stock · 79,467 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries C Preferred Stock · Derivative	64,815	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 24 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 0 Underlying: Common Stock · 2,399 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F4 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries B Preferred Stock · Derivative	131,683	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 23 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 0 Underlying: Common Stock · 7,610 shares Expires not disclosed 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 share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionSeries A Preferred Stock · Derivative	21,776	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 22 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 0 Underlying: Common Stock · 943 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	5,320	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 15 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 18,248 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. F7 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F8 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	5,721	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 14 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 12,928 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. F6 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F8 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	7,207	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 13 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V Strategic Partners, L.P. Disclosed balance after: 7,207 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F8 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	251,783	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 12 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 863,503 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. F7 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	270,690	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 11 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 611,720 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. F6 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	341,030	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 10 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By SV Life Sciences Fund V, L.P. Disclosed balance after: 341,030 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F5 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael J. Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	1,931	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 9 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 8,817 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	6,128	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 8 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 6,886 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	758	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 7 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P. Disclosed balance after: 758 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	202,115	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 6 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 923,022 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	641,440	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 5 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 720,907 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 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	79,467	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 4 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P. Disclosed balance after: 79,467 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	2,399	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 3 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 10,952 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	7,610	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 2 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 8,553 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 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	ConversionCommon Stock	943	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · nonDerivative · entry 1 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 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. F1 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	Exercise / conversionSeries C Preferred Stock · Derivative	4,978	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 21 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners L.P. Disclosed balance after: 52,183 Underlying: Common Stock · 184 shares Expires not disclosed 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. F10 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F10 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F10 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative	4,978	$0.00 Strike: $0.48	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 20 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Strategic Partners L.P. Disclosed balance after: 4,315 Underlying: Series C Preferred Stock · 4,978 shares Expires not disclosed 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. F9 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F9 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	Exercise / conversionSeries C Preferred Stock · Derivative	521,159	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 19 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LPI) L.P. Disclosed balance after: 5,462,550 Underlying: Common Stock · 19,282 shares Expires not disclosed 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. F10 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F10 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F10 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative	521,159	$0.00 Strike: $0.48	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 18 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III (LPI) L.P. Disclosed balance after: 451,869 Underlying: Series C Preferred Stock · 521,159 shares Expires not disclosed 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. F9 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F9 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	Exercise / conversionSeries C Preferred Stock · Derivative	6,183	$0.00	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 17 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 64,815 Underlying: Common Stock · 228 shares Expires not disclosed 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. F10 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F10 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F10 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC	SUTRO BIOPHARMA, INC. STRO · Entity 5797	Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative	6,183	$0.00 Strike: $0.48	$0.00	Disclosure SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 16 SVLSF V, LLC · CIK 0001644160 · 10% owner ILSF III, LLC · CIK 0001630791 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P. Disclosed balance after: 5,361 Underlying: Series C Preferred Stock · 6,183 shares Expires not disclosed 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. F9 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F9 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised. F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein. Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:37 UTC	X4 Pharmaceuticals, Inc ASNS · Entity 5638	ConversionSeries D Convertible Preferred Stock · Derivative	50,477	$0.00	$0.00	Disclosure SEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 26 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,789 shares Expires not disclosed 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. F5 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F9 · ownership.direct: These shares are owned directly by SV Life Sciences Fund VI Strategic Partners, L.P. ("SVLS VI SPP"). SVLS VI GP is the general partner of SVLS VI SPP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn, and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI SPP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:37 UTC	X4 Pharmaceuticals, Inc ASNS · Entity 5638	ConversionSeries D Convertible Preferred Stock · Derivative	1,474,348	$0.00	$0.00	Disclosure SEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 25 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 431,980 shares Expires not disclosed 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. F5 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F8 · ownership.direct: These shares are owned directly by SV Life Sciences Fund VI, L.P. ("SVLS VI LP"). SV Life Sciences Fund VI (GP), LP ("SVLS VI GP") is the general partner of SVLS VI LP. The general partner of SVLS VI GP is SVLSF VI, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III, Paul LaViolette, Thomas Flynn and Michael Ross are members of the investment committee of SVLSF VI, LLC. SVLS VI GP, SVLSF VI, LLC and each of the individuals comprising the SVLSF VI, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS VI LP. Each of SVLS VI GP, SVLSF VI, LLC and the individual members of the SVLSF VI, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:37 UTC	X4 Pharmaceuticals, Inc ASNS · Entity 5638	ConversionSeries D Convertible Preferred Stock · Derivative	14,635	$0.00	$0.00	Disclosure SEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 24 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,288 shares Expires not disclosed 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. F5 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F7 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V SPP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:37 UTC	X4 Pharmaceuticals, Inc ASNS · Entity 5638	ConversionSeries D Convertible Preferred Stock · Derivative	692,552	$0.00	$0.00	Disclosure SEC source: 0000899243-17-027009 · doc4.xml · derivative · entry 23 SVLSF V, LLC · CIK 0001644160 · 10% owner SV Life Sciences Fund VI Strategic Partners, L.P. · CIK 0001667605 · 10% owner SV Life Sciences Fund VI, L.P. · CIK 0001642251 · 10% owner SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 202,915 shares Expires not disclosed 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. F5 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F5 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date. F6 · ownership.direct: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. Kate Bingham, James Garvey, Eugene D. Hill, III and Michael Ross are members of the investment committee of SVLSF V, LLC. SVLS V GP, SVLSF V, LLC and each of the individuals comprising the SVLSF V, LLC investment committee may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. Each of SVLS V GP, SVLSF V, LLC and the individual members of the SVLSF V, LLC investment committee disclaims beneficial ownership of these securities and this report shall not be deemed to be an admission that any one of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their pecuniary interest therein. Read SEC document

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