NEWELL WILLIAM J

SEC source: 0001209191-21-057981 · doc4.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By William J. Newell Family Trust DTD 03/15/2019

Disclosed balance after: 104,662

F1 · ownership.nature: The securities are held of record by the reporting person as trustee of the William J. Newell Family Trust DTD 03/15/2019.

SEC source: 0001209191-21-057981 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,687

SEC source: 0001209191-21-018623 · doc4.xml · derivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2025-03-05

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

F3 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to continued service through each vesting date.

SEC source: 0001209191-21-018623 · doc4.xml · derivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on April 5, 2021, with 100% of the total shares vested and exercisable on March 5, 2025, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0001209191-21-006559 · doc4.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,250

Underlying: Common Stock · 13,750 shares

Expires 2024-01-29

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

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

SEC source: 0001209191-21-006559 · doc4.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,349

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

SEC source: 0001209191-21-006559 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,410

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.

SEC source: 0001209191-20-062813 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,684

F1 · kind: Shares acquired by the reporting person from Sutro Biopharma, Inc. pursuant to the Sutro Biopharma, Inc. 2017 Call Option Plan.

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

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,253

Underlying: Common Stock · 25,252 shares

Expires 2021-09-26

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

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F5 · derivative.exercise_date: The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

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

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,660

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

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

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,879

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

SEC source: 0001209191-20-036742 · doc4.xml · derivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-06-10

F1 · derivative.exercise_date: 1/3 of the shares subject to the option vest on June 11, 2021, and 1/36 of the shares vest monthly thereafter.

SEC source: 0001209191-20-029246 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,627

SEC source: 0001209191-20-005814 · doc4.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2024-01-29

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F6 · derivative.exercise_date: The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to continued service through each vesting date.

SEC source: 0001209191-20-005814 · doc4.xml · derivative · entry 4

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2030-01-29

F4 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on February 29, 2020, with 100% of the total shares vested and exercisable on January 29, 2024, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0001209191-19-051124 · doc4.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,505

Underlying: Common Stock · 25,252 shares

Expires 2021-09-26

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

F6 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement.

F7 · derivative.exercise_date: The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

SEC source: 0001209191-19-051124 · doc4.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,118

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

SEC source: 0001209191-19-051124 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,337

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 · balance_after: Since the date of the reporting person's last ownership report, he transferred 94,085 shares of the issuer's common stock in a transfer exempt from Section 16. Following this transfer, the reporting person does not have voting or investment power over, or a pecuniary interest in, the transferred shares.

SEC source: 0001209191-19-006206 · doc4.xml · derivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 445,000

Underlying: Common Stock · 445,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on February 28, 2019, with 100% of the total shares vested and exercisable on January 29, 2023, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0001209191-18-052841 · doc4.xml · derivative · entry 7

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Newell Family Revocable Trust DTD 08/14/2008

Disclosed balance after: 0

Underlying: Common Stock · 2,890 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.

F4 · ownership.nature: These securities are held of record by the reporting person as trustee of the Newell Family Revocable Trust DTD 08/14/2008.

SEC source: 0001209191-18-052841 · doc4.xml · derivative · entry 6

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,787 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.

F2 · 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.

F2 · 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.

F2 · 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.

SEC source: 0001209191-18-052841 · doc4.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,059 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 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 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 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 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 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 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.

SEC source: 0001209191-18-052841 · doc4.xml · nonDerivative · entry 3

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Newell Family Revocable Trust DTD 08/14/2008

Disclosed balance after: 21,154

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.

F4 · ownership.nature: These securities are held of record by the reporting person as trustee of the Newell Family Revocable Trust DTD 08/14/2008.

SEC source: 0001209191-18-052841 · doc4.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,170

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

F2 · 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.

SEC source: 0001209191-18-052841 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,383

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 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 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.

SEC source: 0001209191-18-052492 · doc4.xml · derivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,757

Underlying: Common Stock · 75,757 shares

Expires 2021-09-25

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

F3 · derivative.exercise_date: The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

SEC source: 0001209191-18-052492 · doc4.xml · derivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 454,545

Underlying: Common Stock · 454,545 shares

Expires 2028-09-25

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.