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 | Insider Title | 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
| 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
| 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 |
| 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 | |
| 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 |
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.
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