Filing Details
- Accession Number:
- 0001209191-21-008753
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-09 15:33:35
- Reporting Period:
- 2021-02-09
- Accepted Time:
- 2021-02-09 15:33:35
- 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 |
|---|---|---|---|---|---|---|---|
| 1255449 | Mahendra Shah | C/O Bolt Biotherapeutics, Inc. 900 Chesapeake Drive Redwood City CA 94063 | Yes | No | No | No |
Reported Non-Derivative Transactions
| 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 | 944,056 | $0.00 | 958,341 | No | 4 | C | Indirect | By Vivo PANDA Fund, L.P. |
| Common Stock | Acquisiton | 2021-02-09 | 472,296 | $0.00 | 1,430,637 | No | 4 | C | Indirect | By Vivo PANDA Fund, L.P. |
| Common Stock | Acquisiton | 2021-02-09 | 17,711 | $0.07 | 1,448,348 | No | 4 | X | Indirect | By Vivo PANDA Fund, L.P. |
| Common Stock | Disposition | 2021-02-09 | 62 | $20.00 | 1,448,286 | No | 4 | S | Indirect | By Vivo PANDA Fund, L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By Vivo PANDA Fund, L.P. |
| No | 4 | C | Indirect | By Vivo PANDA Fund, L.P. |
| No | 4 | X | Indirect | By Vivo PANDA Fund, L.P. |
| No | 4 | S | Indirect | By Vivo PANDA Fund, L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A- 1 Preferred Stock | Disposition | 2021-02-09 | 944,056 | $0.00 | 944,056 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2021-02-09 | 472,296 | $0.00 | 472,296 | $0.00 |
| Common Stock | Warrant (Right to Buy) | Disposition | 2021-02-09 | 17,711 | $0.00 | 17,711 | $0.07 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | 2028-07-26 | No | 4 | X | Indirect |
Footnotes
- The Series A-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 initial public offering (the "IPO") and had no expiration date.
- The securities reported herein are held of record by Vivo PANDA Fund, L.P. ("Vivo LP"). Vivo Panda, LLC ("Vivo LLC") is the sole general partner of Vivo LP. The Reporting Person is a managing member of Vivo LLC and has shared voting and investment power over the securities beneficially owned by Vivo LP and may therefore be deemed to have or share beneficial ownership of the securities held directly by Vivo LP. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- 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 IPO and had no expiration date.
- Upon closing of the Issuer's IPO, Vivo LP exercised a warrant to purchase 17,711 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo LP paid the exercise price on a cashless basis, resulting in the Issuer withholding 62 share subject to the warrant in order to pay the exercise price and issuing to Vivo LP the remaining 17,649 shares of Common Stock.
- The shares subject to this warrant were fully vested prior to exercise.
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