Sec Form 13G Filing - Alta Partners VIII L.P. filing for SUTRO BIOPHARMA INC. (STRO) - 2021-02-16

Insider filing report for Changes in Beneficial Ownership

  • Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
  • Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

Sutro Biopharma, Inc.

(Name of Issuer)

 

Common Stock, $0.001 par value per share

(Title of Class of Securities)

 

869367 10 2

(CUSIP Number)

 

December 31, 2020

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨Rule 13d-1(b)

 

¨Rule 13d-1(c)

 

xRule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes)

 

 

 

 
 

  

CUSIP No. 869367 10 2 13G Page 2 of 10 Pages

  

1 NAMES OF REPORTING PERSON
Alta Partners VIII, L.P.  
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨
  (b) x
3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5 SOLE VOTING POWER

 

-0-

6 SHARED VOTING POWER

 

-0-

7 SOLE DISPOSITIVE POWER

 

-0-

8 SHARED DISPOSITIVE POWER

 

-0-

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-  
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES *
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0%  
12

TYPE OF REPORTING PERSON

PN

 

 

 
 

 

CUSIP No. 869367 10 2 13G Page 3 of 10 Pages

  

1 NAMES OF REPORTING PERSON
Alta Partners Management VIII, LLC  
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨
  (b) x
3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5 SOLE VOTING POWER

 

-0-

6 SHARED VOTING POWER

 

-0-

7 SOLE DISPOSITIVE POWER

 

-0-

8 SHARED DISPOSITIVE POWER

 

-0-

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-  
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES *
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0% (b)  
12

TYPE OF REPORTING PERSON

OO

 

 

 
 

 

CUSIP No. 869367 10 2 13G Page 4 of 10 Pages

  

1 NAMES OF REPORTING PERSON

Daniel Janney

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨
  (b) x
3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

U.S.A.

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5 SOLE VOTING POWER

 

-0-

6 SHARED VOTING POWER

 

-0-

7 SOLE DISPOSITIVE POWER

 

-0-

8 SHARED DISPOSITIVE POWER

 

-0-

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-  
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES *
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0% (b)  
12

TYPE OF REPORTING PERSON

IN

 

 

 
 

 

CUSIP No. 869367 10 2 13G Page 5 of 10 Pages

    

1 NAMES OF REPORTING PERSON

Guy Nohra

 
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨
  (b) x
3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

U.S.A.

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

5 SOLE VOTING POWER

 

-0-

6 SHARED VOTING POWER

 

-0-

7 SOLE DISPOSITIVE POWER

 

-0-

8 SHARED DISPOSITIVE POWER

 

-0-

9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0-  
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES *
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0% (b)  
12

TYPE OF REPORTING PERSON

IN

 

 

 
 

 

CUSIP No. 869367 10 2 13G Page 6 of 10 Pages

 

Item 1.
  (a) Name of Issuer:
Sutro Biopharma, Inc. (“Issuer”)
     
  (b)

Address of Issuer’s Principal Executive Offices:
310 Utah Avenue, Suite 150

South San Francisco, CA  94080

 

 
Item 2.
  (a) Name of Person Filing:
    Alta Partners VIII, L.P. (“APVIII”)
    Alta Partners Management VIII, LLC (“APMVIII”)
    Guy Nohra (“GN”)
    Daniel Janney (“DJ”)
     
  (b) Address of Principal Business Office:
    Four Embarcadero Center, Suite 2100
    San Francisco, CA 94111
     
  (c) Citizenship/Place of Organization:
     
    Entities:   
    APVIII          -    Delaware
    APMVIII      -    Delaware
     
    Individuals:
    DJ                  -   United States
    GN                 -   United States
     
  (d) Title of Class of Securities:
    Common Stock, $0.001 par value per share
     
  (e) CUSIP Number:
   

869367 10 2

 

 
 
 

 

CUSIP No. 869367 10 2 13G Page 7 of 10 Pages

 

Item 3.Not applicable.

              

Item 4.Ownership.

 

The following beneficial ownership information is provided as of December 31, 2020.

 

Fund Entities  Shares
Held
Directly
   Sole
Voting
Power
   Shared
Voting
Power
   Sole
Dispositive
Power
   Shared
Dispositive
Power
   Beneficial
Ownership
   Percentage
of Class
 
APVIII   0    0    0    0    0    0    0%
APMVIII   0    0    0    0    0    0    0%
DJ   0    0    0    0    0    0    0%
GN   0    0    0    0    0    0    0%

 

Item 5.

Ownership of Five Percent or Less of a Class

   
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following x
 
Item 6. Ownership of More than Five Percent on Behalf of Another Person
   
Not applicable.
 
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
   
Not applicable.
 
Item 8. Identification and Classification of Members of the Group
   
No reporting person is a member of a group as defined in Section 240.13d-1(b)(1)(ii)(J) of the Act.
 
Item 9. Notice of Dissolution of Group
   
Not applicable.

  

Item 10. Certification
   
Not applicable.

 

 
 

 

CUSIP No. 869367 10 2 13G Page 8 of 10 Pages

  

EXHIBITS

 

A: Joint Filing Statement

 

 
 

  

CUSIP No. 869367 10 2 13G Page 9 of 10 Pages

  

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date: February 16, 2021

 

Alta Partners VIII, L.P.  
By: Alta Partners Management VIII, LLC  
   
By: /s/ Daniel Janney  
  Daniel Janney, Managing Director  
   
Alta Partners Management VIII, LLC  
   
By: /s/ Daniel Janney  
  Daniel Janney, Managing Director  
   
/s/ Daniel Janney  
Daniel Janney  
   
/s/ Guy Nohra  
Guy Nohra  

  

 
 

 

CUSIP No. 869367 10 2 13G Page 10 of 10 Pages

  

EXHIBIT A

 

AGREEMENT OF JOINT FILING

 

We, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of us.

 

Date: February 16, 2021

 

Alta Partners VIII, L.P.  
By: Alta Partners Management VIII, LLC  
   
By: /s/ Daniel Janney  
  Daniel Janney, Managing Director  
   
Alta Partners Management VIII, LLC  
   
By: /s/ Daniel Janney  
  Daniel Janney, Managing Director  
   
/s/ Daniel Janney  
Daniel Janney  
   
/s/ Guy Nohra  
Guy Nohra