Bolt Biotherapeutics, Inc. — Director's Dealing 2021

Feb 9, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Bolt Biotherapeutics, Inc. (BOLT)
CIK: 0001641281
Period of Report: 2021-02-09

Reporting Person: SHAH MAHENDRA (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-09	Common Stock	C	944056	—	Acquired	958341	Indirect
2021-02-09	Common Stock	C	472296	—	Acquired	1430637	Indirect
2021-02-09	Common Stock	X	17711	$0.07	Acquired	1448348	Indirect
2021-02-09	Common Stock	S	62	$20.00	Disposed	1448286	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-09	Series A- 1 Preferred Stock	$	C	944056	Disposed		Common Stock (944056)	Indirect
2021-02-09	Series B Preferred Stock	$	C	472296	Disposed		Common Stock (472296)	Indirect
2021-02-09	Warrant (Right to Buy)	$0.07	X	17711	Disposed	2028-07-26	Common Stock (17711)	Indirect

Footnotes

F1: 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.

F2: 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.

F3: 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.

F4: 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.

F5: The shares subject to this warrant were fully vested prior to exercise.