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Filing Details

Accession Number:: 0001209191-21-008758
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-02-09 15:37:46
Reporting Period:: 2021-02-09

Accepted Time:: 2021-02-09 15:37:46
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1641281	Bolt Biotherapeutics Inc.	BOLT	()	1231

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1618788	Vivo Capital Fund Viii, L.p.	192 Lytton Avenue Palo Alto CA 94301	No	No	Yes	No
1618789	Vivo Capital Viii, Llc	192 Lytton Avenue Palo Alto CA 94301	No	No	Yes	No
1628048	Vivo Capital Surplus Fund Viii, L.p.	192 Lytton Avenue Palo Alto CA 94301	No	No	Yes	No
1675490	Vivo Panda Fund, L.p.	192 Lytton Avenue Palo Alto CA 94301	No	No	Yes	No
1726403	Vivo Opportunity Fund, L.p.	192 Lytton Avenue Palo Alto CA 94301	No	No	Yes	No
1728970	Vivo Opportunity, Llc	192 Lytton Avenue Palo Alto CA 94301	No	No	Yes	No
1843847	Vivo Panda, Llc	192 Lytton Avenue Palo Alto CA 94301	No	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	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.
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.
Common Stock	Acquisiton	2021-02-09	150,000	$20.00	150,000	No	4	P	Indirect	By Vivo Opportunity 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.
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.
No	4	P	Indirect	By Vivo Opportunity Fund, 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 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
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
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
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
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 ofthe 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. Mahendra G. Shah, Ph.D. is one of four voting members of Vivo LLC.
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 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. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC.
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 Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC.
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 shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF and has four managing members.
The shares subject to this warrant were fully vested prior to exercise.