0001209191-18-052831.txt : 20181001 0001209191-18-052831.hdr.sgml : 20181001 20181001171229 ACCESSION NUMBER: 0001209191-18-052831 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181001 FILED AS OF DATE: 20181001 DATE AS OF CHANGE: 20181001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alta Partners VIII, L.P. CENTRAL INDEX KEY: 0001399763 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181098395 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alta Partners Management VIII, LLC CENTRAL INDEX KEY: 0001399894 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181098396 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHAMPSI FARAH CENTRAL INDEX KEY: 0001198321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181098397 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JANNEY DANIEL CENTRAL INDEX KEY: 0001198325 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181098398 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOHRA GUY P CENTRAL INDEX KEY: 0001198330 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 181098399 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-10-01 1 0001382101 SUTRO BIOPHARMA INC STRO 0001399763 Alta Partners VIII, L.P. ONE EMBARCADERO CENTER, SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001399894 Alta Partners Management VIII, LLC ONE EMBARCADERO CENTER, SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198321 CHAMPSI FARAH ONE EMBARCADERO CENTER, SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198325 JANNEY DANIEL ONE EMBARCADERO CENTER, SUITE 3700 SAN FRANCISCO CA 94111 1 0 1 0 0001198330 NOHRA GUY P ONE EMBARCADERO CENTER, SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 2018-10-01 4 C 0 589661 A 589661 D Common Stock 2018-10-01 4 C 0 458331 A 1047992 D Common Stock 2018-10-01 4 C 0 382698 A 1430690 D Common Stock 2018-10-01 4 C 0 514211 A 1944901 D Series B Preferred Stock 2018-10-01 4 C 0 10201769 0.00 D Common Stock 589661 0 D Series C Preferred Stock 2018-10-01 4 C 0 12387324 0.00 D Common Stock 458331 0 D Series D Preferred Stock 2018-10-01 4 C 0 9449318 0.00 D Common Stock 382698 0 D Series E Preferred Stock 2018-10-01 4 C 0 18698578 0.00 D Common Stock 514211 0 D 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 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. The shares directly held by Alta Partners VIII, L.P. ("Alta VIII") are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. 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. 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. 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. /s/ Daniel Janney as Managing Director of Alta Partners Management VIII, LLC, the general partner of Alta Partners VIII, L.P. 2018-10-01 /s/ Daniel Janney as Managing Director of Alta Partners Management VIII, LLC 2018-10-01 /s/ Farah Champsi 2018-10-01 /s/ Daniel Janney 2018-10-01 /s/ Guy Nohra 2018-10-01