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