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
| 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
| 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 |
| 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 | No | 4 | C | Indirect | ||
| 0 | 2028-07-26 | No | 4 | X | Indirect | |
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | 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.
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