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Filing Details

Accession Number:: 0001209191-21-008744
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-02-09 15:25:52
Reporting Period:: 2021-02-09

Accepted Time:: 2021-02-09 15:25:52
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1641281	Bolt Biotherapeutics Inc.	BOLT	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1227162	Edgar Engleman	C/O Bolt Biotherapeutics, Inc. 900 Chesapeake Drive Redwood City CA 94063		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-02-09	1,092,080	$0.00	1,117,184	No	4	C	Indirect	By Vivo Capital Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	317,922	$0.00	1,435,106	No	4	C	Indirect	By Vivo Capital Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	345,568	$0.00	1,780,674	No	4	C	Indirect	By Vivo Capital Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	40,953	$0.07	1,821,627	No	4	X	Indirect	By Vivo Capital Fund VIII, L.P.
Common Stock	Disposition	2021-02-09	144	$20.00	1,821,483	No	4	S	Indirect	By Vivo Capital Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	175,733	$20.00	1,997,216	No	4	P	Indirect	By Vivo Capital Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	150,802	$0.00	154,268	No	4	C	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	43,901	$0.00	198,169	No	4	C	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	47,718	$0.00	245,887	No	4	C	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	5,655	$0.07	251,542	No	4	X	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
Common Stock	Disposition	2021-02-09	20	$20.00	251,522	No	4	S	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
Common Stock	Acquisiton	2021-02-09	24,267	$20.00	275,789	No	4	P	Indirect	By Vivo Capital Surplus Fund VIII, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	By Vivo Capital Fund VIII, L.P.
No	4	C	Indirect	By Vivo Capital Fund VIII, L.P.
No	4	C	Indirect	By Vivo Capital Fund VIII, L.P.
No	4	X	Indirect	By Vivo Capital Fund VIII, L.P.
No	4	S	Indirect	By Vivo Capital Fund VIII, L.P.
No	4	P	Indirect	By Vivo Capital Fund VIII, L.P.
No	4	C	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
No	4	C	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
No	4	C	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
No	4	X	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
No	4	S	Indirect	By Vivo Capital Surplus Fund VIII, L.P.
No	4	P	Indirect	By Vivo Capital Surplus Fund VIII, L.P.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Preferred Stock	Disposition	2021-02-09	1,092,080	$0.00	1,092,080	$0.00
Common Stock	Series C- 1 Preferred Stock	Disposition	2021-02-09	317,922	$0.00	317,922	$0.00
Common Stock	Series C- 2 Preferred Stock	Disposition	2021-02-09	345,568	$0.00	345,568	$0.00
Common Stock	Warrant (Right to Buy)	Disposition	2021-02-09	40,953	$0.00	40,953	$0.07
Common Stock	Series B Preferred Stock	Disposition	2021-02-09	150,802	$0.00	150,802	$0.00
Common Stock	Series C- 1 Preferred Stock	Disposition	2021-02-09	43,901	$0.00	43,901	$0.00
Common Stock	Series C- 2 Preferred Stock	Disposition	2021-02-09	47,718	$0.00	47,718	$0.00
Common Stock	Warrant (Right to Buy)	Disposition	2021-02-09	5,655	$0.00	5,655	$0.07

Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
2028-07-26	No	4	X	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
2028-07-26	No	4	X	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	577,425	Indirect	By Engleman Family Trust
Common Stock	321,428	Indirect	By The Erik Nathan Engleman Irrevocable Trust dated December 06, 2012
Common Stock	321,428	Indirect	By The Jason Engleman Irrevocable GST Trust dated December 06, 2012

Footnotes

The Series B Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's initial public offering (the "IPO") and had no expiration date.
The securities reported herein are held of record by Vivo Capital Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.
The Series C-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.
The Series C-2 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a 1:1 basis immediately upon closing of the Issuer's IPO and had no expiration date.
Upon closing of the Issuer's IPO, Vivo Capital Fund VIII, L.P. exercised a warrant to purchase 40,953 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 144 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Fund VIII, L.P. the remaining 40,809 shares of Common Stock.
The securities reported herein are held of record by Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC is the general partner of Vivo Capital Surplus Fund VIII, L.P. The Reporting Person is one of three voting members of Vivo Capital VIII, LLC and may be deemed to have shared voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P. The Reporting Person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein.
Upon closing of the Issuer's IPO, Vivo Capital Surplus Fund VIII, L.P. exercised a warrant to purchase 5,655 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo Capital Surplus Fund VIII, L.P. paid the exercise price on a cashless basis, resulting in the Issuer withholding 20 share subject to the warrant in order to pay the exercise price and issuing to Vivo Capital Surplus Fund VIII, L.P. the remaining 5,635 shares of Common Stock.
The Reporting Person is trustee of the Engleman Family Trust.
The Reporting Person's spouse is trustee of The Erik Nathan Engleman Irrevocable Trust dated December 06, 2012.
The Reporting Person's spouse is trustee of The Jason Engleman Irrevocable GST Trust dated December 06, 2012.
The shares subject to this warrant were fully vested prior to exercise.