0001209191-18-052351.txt : 20180926 0001209191-18-052351.hdr.sgml : 20180926 20180926183344 ACCESSION NUMBER: 0001209191-18-052351 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180926 FILED AS OF DATE: 20180926 DATE AS OF CHANGE: 20180926 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SVLSF V, LLC CENTRAL INDEX KEY: 0001644160 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089081 BUSINESS ADDRESS: STREET 1: C/O SV LIFE SCIENCES ADVISERS, LLC STREET 2: ONE BOSTON PLACE, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-367-8100 MAIL ADDRESS: STREET 1: C/O SV LIFE SCIENCES ADVISERS, LLC STREET 2: ONE BOSTON PLACE, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ILSF III, LLC CENTRAL INDEX KEY: 0001630791 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089082 BUSINESS ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: (617) 367-8100 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. CENTRAL INDEX KEY: 0001630790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089083 BUSINESS ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: (617) 367-8100 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. CENTRAL INDEX KEY: 0001233315 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089084 BUSINESS ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-367-8100 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 FORMER NAME: FORMER CONFORMED NAME: INTERNATIONAL LIFE SCIENCES FUND III CO INVESTMENT L P DATE OF NAME CHANGE: 20030515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. CENTRAL INDEX KEY: 0001172861 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089085 BUSINESS ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 6173671590 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 FORMER NAME: FORMER CONFORMED NAME: INTERNATIONAL LIFE SCIENCES FUND III LP1 LP DATE OF NAME CHANGE: 20020508 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. CENTRAL INDEX KEY: 0001233226 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089086 BUSINESS ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-367-8100 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE, SUITE 3900 STREET 2: 201 WASHINGTON STREET CITY: BOSTON STATE: MA ZIP: 02108 FORMER NAME: FORMER CONFORMED NAME: INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS L P DATE OF NAME CHANGE: 20030515 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SV Life Sciences Fund V (GP), LP CENTRAL INDEX KEY: 0001644146 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089087 BUSINESS ADDRESS: STREET 1: C/O SV LIFE SCIENCES ADVISERS, LLC STREET 2: ONE BOSTON PLACE, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-367-8100 MAIL ADDRESS: STREET 1: C/O SV LIFE SCIENCES ADVISERS, LLC STREET 2: ONE BOSTON PLACE, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SV LIFE SCIENCES FUND V LP CENTRAL INDEX KEY: 0001460732 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089088 BUSINESS ADDRESS: STREET 1: C/O SV LIFE SCIENCES ADVISERS, LLC STREET 2: ONE BOSTON PLACE, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-973-2708 MAIL ADDRESS: STREET 1: C/O SV LIFE SCIENCES ADVISERS, LLC STREET 2: ONE BOSTON PLACE, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SV Life Sciences Fund V Strategic Partners, L.P. CENTRAL INDEX KEY: 0001482194 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181089089 BUSINESS ADDRESS: STREET 1: C/O SV LIFE SCIENCES ADVISERS, LLC STREET 2: ONE BOSTON PLACE, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-973-2708 MAIL ADDRESS: STREET 1: C/O SV LIFE SCIENCES ADVISERS, LLC STREET 2: ONE BOSTON PLACE, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SUTRO BIOPHARMA INC CENTRAL INDEX KEY: 0001382101 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 452441988 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 310 UTAH AVE., SUITE 150 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-392-8412 MAIL ADDRESS: STREET 1: 310 UTAH AVE., SUITE 150 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-09-26 0 0001382101 SUTRO BIOPHARMA INC STRO 0001644160 SVLSF V, LLC ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 0001630791 ILSF III, LLC ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 0001630790 INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 0001233315 INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 0001172861 INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 0001233226 INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 0001644146 SV Life Sciences Fund V (GP), LP ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 0001460732 SV LIFE SCIENCES FUND V LP ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 0001482194 SV Life Sciences Fund V Strategic Partners, L.P. ONE BOSTON PLACE 201 WASHINGTON ST., STE 3900 BOSTON MA 02108 0 0 1 0 Series A Preferred Stock Common Stock 21776 I By International Life Sciences Fund III Co-Investment, L.P. Series B Preferred Stock Common Stock 131683 I By International Life Sciences Fund III Co-Investment, L.P. Series C Preferred Stock Common Stock 58632 I By International Life Sciences Fund III Co-Investment, L.P. Series C Preferred Stock Warrant (right to buy) 0.4797 Series C Preferred Stock 11544 I By International Life Sciences Fund III Co-Investment, L.P. Series A Preferred Stock Common Stock 1835270 I By International Life Sciences Fund III (LP1), L.P. Series B Preferred Stock Common Stock 11097596 I By International Life Sciences Fund III (LP1), L.P. Series C Preferred Stock Common Stock 4941391 I By International Life Sciences Fund III (LP1), L.P. Series C Preferred Stock Warrant (right to buy) 0.4797 Series C Preferred Stock 973028 I By International Life Sciences Fund III (LP1), L.P. Series A Preferred Stock Common Stock 17533 I By International Life Sciences Fund III Strategic Partners, L.P. Series B Preferred Stock Common Stock 106019 I By International Life Sciences Fund III Strategic Partners, L.P. Series C Preferred Stock Common Stock 47205 I By International Life Sciences Fund III Strategic Partners, L.P. Series C Preferred Stock Warrant (right to buy) 0.4797 Series C Preferred Stock 9293 I By International Life Sciences Fund III Strategic Partners, L.P. Series C Preferred Stock Common Stock 9217015 I By SV Life Sciences Fund V, L.P. Series D Preferred Stock Common Stock 6683697 I By SV Life Sciences Fund V, L.P. Series E Preferred Stock Common Stock 9155794 I By SV Life Sciences Fund V, L.P. Series C Preferred Stock Common Stock 194786 I By SV Life Sciences Fund V Strategic Partners, L.P. Series D Preferred Stock Common Stock 141249 I By SV Life Sciences Fund V Strategic Partners, L.P. Series E Preferred Stock Common Stock 193492 I By SV Life Sciences Fund V Strategic Partners, L.P. Each share of the issuer's Series A Preferred Stock will automatically convert into 0.0433 share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering ("IPO") and has no expiration date. 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. Each share of the issuer's Series B Preferred Stock will automatically convert into 0.0578 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no 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. 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. The warrant has a net exercise provision under which the holder, in lieu of paying the exercise price in cash, can surrender the warrant and receive a net number of shares of preferred stock based on the fair market value of such stock at the time of exercise, after deducting the aggregate exercise price. 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. Each share of the issuer's Series D Preferred Stock will automatically convert into 0.0405 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. Each share of the issuer's Series E Preferred Stock will automatically convert into 0.0275 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date. 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. /s/ Brent Faduski as authorized officer of SVLSF V, LLC 2018-09-26 /s/ Brent Faduski as authorized officer of ILSF III, LLC 2018-09-26 /s/ Brent Faduski as authorized officer of ILSF III, LLC, the GP of International Life Sciences Fund III (GP), L.P. 2018-09-26 /s/ Brent Faduski as authorized officer of ILSF III, LLC, the GP of International Life Sciences Fund III (GP), L.P., the GP of International Life Sciences Fund III Co-Investment, L.P. 2018-09-26 /s/ Brent Faduski as authorized officer of ILSF III, LLC, the GP of International Life Sciences Fund III (GP), L.P., the GP of International Life Sciences Fund III (LP1), L.P. 2018-09-26 /s/ Brent Faduski as authorized officer of ILSF III, LLC, the GP of International Life Sciences Fund III (GP), L.P., the GP of International Life Sciences Fund III Strategic Partners, L.P. 2018-09-26 /s/ Brent Faduski as authorized officer of SVLSF V, LLC, the GP of SV Life Sciences Fund V (GP), L.P. 2018-09-26 /s/ Brent Faduski as authorized officer of SVLSF V, LLC, the GP of SV Life Sciences Fund V (GP), L.P., the GP of SV Life Sciences Fund V, L.P. 2018-09-26 /s/ Brent Faduski as authorized officer of SVLSF V, LLC, the GP of SV Life Sciences Fund V (GP), L.P, the GP of SV Life Sciences Fund V Strategic Partners, L.P. 2018-09-26