S-8: Initial registration statement for securities to be offered to employees pursuant to employee benefit plans
Published on March 1, 2022
As filed with the Securities and Exchange Commission on February 28, 2022
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933
SUTRO BIOPHARMA, INC.
(Exact Name of Registrant as Specified in Its Charter)
| Delaware | 47-0926186 | |
| (State or Other Jurisdiction of | (I.R.S. Employer | |
| Incorporation or Organization) | Identification No.) |
111 Oyster Point Blvd.
South San Francisco, California, 94080
(650) 881-6500
(Address of Principal Executive Offices) (Zip Code)
2018 Equity Incentive Plan
2018 Employee Stock Purchase Plan
(Full Title of the Plans)
William J. Newell
Chief Executive Officer
Sutro Biopharma, Inc.
111 Oyster Point Blvd.
South San Francisco, CA 94080
(Name and Address of Agent for Service)
(650) 881-6500
(Telephone Number, including area code, of agent for service)
Please send copies of all communications to:
Robert A. Freedman, Esq.
Amanda L. Rose, Esq.
Ryan Mitteness, Esq.
Fenwick & West LLP
555 California Street, 12th Floor
San Francisco, California 94104
(415) 875-2300
Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerginggrowth company. See definitions of large accelerated filer, accelerated filer, smaller reporting company, and emerging growth company in Rule 12b-2 of the Exchange Act.
| Large accelerated filer | ☒ | Accelerated filer | ☐ | |||
| Non-accelerated filer | ☐ | Smaller reporting company | ☐ | |||
| Emerging growth company | ☐ | |||||
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ☐
REGISTRATION OF ADDITIONAL SHARES
PURSUANT TO GENERAL INSTRUCTION E
Sutro Biopharma, Inc. (the Registrant) is filing this Registration Statement with the Securities and Exchange Commission (the Commission) to register (a) 2,316,303 additional shares of common stock available for issuance under the Registrants Equity Incentive Plan (the 2018 EIP), pursuant to the provision of the 2018 EIP providing for an annual 5% automatic increase in the number of shares reserved for issuance and (b) 463,260 additional shares of common stock available for issuance under the Registrants 2018 Employee Stock Purchase Plan (2018 ESPP), pursuant to the provision of the 2018 ESPP providing for an annual 1% automatic increase in the number of shares reserved for issuance.
In accordance with General Instruction E of Form S-8, and only with respect to the common stock issuable under the 2018 EIP and 2018 ESPP, this Registration Statement hereby incorporates by reference the contents of the Registrants Registration Statements on Form S-8 filed with the Commission on September 27, 2018 (Registration No. 333-227551), April 1, 2019 (Registration No. 333-230641), March 16, 2020 (Registration No. 333-237202) and March 18, 2021 (Registration No. 333-254456) to the extent not superseded hereby.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Incorporation of Documents by Reference.
The following documents filed by the Registrant with the Commission pursuant to the Securities Act and the Securities Exchange Act of 1934, as amended (the Exchange Act) are incorporated herein by reference:
(a) the Registrants Annual Report on Form 10-K for the year ended December 31, 2021, filed with the Commission on February 28, 2022 pursuant to Section 13 of the Exchange Act;
(b) all other reports filed pursuant to Section 13(a) or 15(d) of the Exchange Act since the end of the fiscal year covered by the Registrants Annual Report on Form 10-K referred to in (a) above; and
(c) the description of the Registrants common stock contained in the Registrants registration statement on Form 8-A (File No. 001-38662) filed on September 18, 2018 under Section 12(b) of the Exchange Act, including any amendment or report filed for the purpose of updating such description.
All documents and definitive proxy or information statements filed by the Registrant pursuant to Section 13(a), 13(c), 14 or 15(d) of the Exchange Act subsequent to the filing of this Registration Statement and prior to the filing of a post-effective amendment, which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing such documents, except as to documents or information deemed to have been furnished and not filed in accordance with the rules of the Commission. Unless expressly incorporated into this Registration Statement, a report deemed to be furnished but not filed on Form 8-K prior or subsequent to the date hereof shall not be incorporated by reference into this Registration Statement. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained in any subsequently filed document which also is deemed to be incorporated by reference herein modifies or supersedes such statement.
Item 8. Exhibits.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, as amended, the Registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in South San Francisco, California, on this 28th day of February, 2022.
| SUTRO BIOPHARMA, INC. | ||
| By: | /s/ William J. Newell |
|
| William J. Newell | ||
| Chief Executive Officer and Director | ||
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints William J. Newell and Edward Albini, and each of them, as his or her true and lawful attorney-in-fact and agent with full power of substitution, for him or her in any and all capacities, to sign any and all amendments (including post-effective amendments) to this Registration Statement on Form S-8, and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorney-in-fact and agent full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully for all intents and purposes as he might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent, or his or her substitute, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Act, this Registration Statement has been signed by the following persons in the capacities and on the date indicated.
| Signature |
Title |
Date |
||
| /s/ William J. Newell |
Chief Executive Officer and Director | February 28, 2022 | ||
| William J. Newell | (Principal Executive Officer) | |||
| /s/ Edward Albini |
Chief Financial Officer | February 28, 2022 | ||
| Edward Albini | (Principal Accounting Officer and Principal Financial Officer) |
|||
| /s/ Connie Matsui |
Director, Chair | February 28, 2022 | ||
| Connie Matsui | ||||
| /s/ Michael Dybbs, Ph.D. |
Director | February 28, 2022 | ||
| Michael Dybbs, Ph.D. | ||||
| /s/ John G. Freund, M.D. |
Director | February 28, 2022 | ||
| John G. Freund, M.D. | ||||
| /s/ Heidi Hunter |
Director | February 28, 2022 | ||
| Heidi Hunter | ||||
| /s/ Joseph M. Lobacki |
Director | February 28, 2022 | ||
| Joseph M. Lobacki | ||||
| /s/ James Panek |
Director | February 28, 2022 | ||
| James Panek | ||||
| /s/ Daniel H. Petree |
Director | February 28, 2022 | ||
| Daniel H. Petree | ||||
| /s/ Shalini Sharp |
Director | February 28, 2022 | ||
| Shalini Sharp | ||||
| /s/ Jon Wigginton, M.D. |
Director | February 28, 2022 | ||
| Jon Wigginton, M.D. | ||||