0001209191-21-050957.txt : 20210811 0001209191-21-050957.hdr.sgml : 20210811 20210811172251 ACCESSION NUMBER: 0001209191-21-050957 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210809 FILED AS OF DATE: 20210811 DATE AS OF CHANGE: 20210811 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vasquez Nicki CENTRAL INDEX KEY: 0001877585 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38662 FILM NUMBER: 211164649 MAIL ADDRESS: STREET 1: C/O SUTRO BIOPHARMA, INC. STREET 2: 310 UTAH AVE., SUITE 150 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 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 FORMER COMPANY: FORMER CONFORMED NAME: SUTRO BIOPHARMA INC DATE OF NAME CHANGE: 20061127 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2021-08-09 0 0001382101 SUTRO BIOPHARMA, INC. STRO 0001877585 Vasquez Nicki C/O SUTRO BIOPHARMA, INC. 310 UTAH AVENUE, SUITE 150 SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Chief Port. Strat & Alnce Ofcr Common Stock 7270 D Stock Option (right to buy) 11.98 2025-05-20 Common Stock 27834 D Stock Option (right to buy) 11.98 2025-09-27 Common Stock 4854 D Stock Option (right to buy) 15.00 2028-09-25 Common Stock 107438 D Stock Option (right to buy) 10.45 2029-01-28 Common Stock 15625 D Stock Option (right to buy) 10.09 2030-01-28 Common Stock 30000 D Stock Option (right to buy) 21.11 2031-03-04 Common Stock 45000 D Stock Option (right to buy) 18.12 2031-07-11 Common Stock 12500 D Restricted Stock Unit (RSU) 2022-09-26 Common Stock 5969 D Restricted Stock Unit (RSU) 2024-01-29 Common Stock 7500 D Restricted Stock Unit (RSU) 2025-03-05 Common Stock 22000 D Restricted Stock Unit (RSU) 2025-07-12 Common Stock 13000 D The option is fully vested and exercisable. 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. 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. 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. 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. The option vests as to 2.0833% of the total shares monthly, beginning on August 12, 2021, with 100% of the total shares vested and exercisable on July 12, 2025, subject to the reporting person's provision of service to the issuer on each vesting date. The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to the reporting person's provision of service to the issuer on each vesting date. Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement. The RSUs vest as to 1/4th of the total shares annually beginning on January 29, 2021, subject to the reporting person's provision of service to the issuer on each vesting date. The RSUs vest as to 1/4th of the total shares annually beginning on March 5, 2022, subject to the reporting person's provision of service to the issuer on each vesting date. The RSUs vest as to 1/4th of the total shares annually beginning on July 12, 2022, subject to the reporting person's provision of service to the issuer on each vesting date. Exhibit 24.1 - Power of Attorney /s/ Edward C. Albini as attorney-in-fact 2021-08-11 EX-24.3_1003373 2 poa.txt POA DOCUMENT LIMITED POWER OF ATTORNEY The undersigned hereby constitutes and appoints Edward Albini, Regina Cheng, Linda Fitzpatrick and David Pauling, as long as they are providing services to Sutro Biopharma, Inc., a Delaware corporation (the "Company"), or any of them, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer and/or director of the Company, Forms 3, 4s and 5s in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder; (2) do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute any such Forms 3, 4s and 5s and timely file such forms with the Securities and Exchange Commission and any stock exchange or similar authority, if required; and (3) take any other action of any type whatsoever in connection with the foregoing that, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform each and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution and revocation, hereby ratifying and confirming all that each such attorney-in-fact, or each such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that each of the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, is not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. The undersigned agrees that each such attorney-in-fact may rely entirely on information furnished orally or in writing by the undersigned to each such attorney-in-fact. The undersigned also agrees to indemnify and hold harmless the Company and each such attorney-in-fact against any losses, claims, damages or liabilities (or actions in these respects) that arise out of or are based on any untrue statement or omission of necessary facts in the information provided by the undersigned to such attorney-in-fact for purposes of executing, acknowledging, delivering and filing Forms 3, 4s or 5s (including amendments thereto) and agrees to reimburse the Company and each such attorney-in-fact for any legal or other expenses reasonably incurred in connection with investigating or defending against any such loss, claim, damage, liability or action. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4s and 5s with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of 8/3/2021. /s/ Nicki Vasquez Name: Nicki Vasquez