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: ENGLEMAN EDGAR (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-09	Common Stock	C	1092080	—	Acquired	1117184	Indirect
2021-02-09	Common Stock	C	317922	—	Acquired	1435106	Indirect
2021-02-09	Common Stock	C	345568	—	Acquired	1780674	Indirect
2021-02-09	Common Stock	X	40953	$0.07	Acquired	1821627	Indirect
2021-02-09	Common Stock	S	144	$20.00	Disposed	1821483	Indirect
2021-02-09	Common Stock	P	175733	$20.00	Acquired	1997216	Indirect
2021-02-09	Common Stock	C	150802	—	Acquired	154268	Indirect
2021-02-09	Common Stock	C	43901	—	Acquired	198169	Indirect
2021-02-09	Common Stock	C	47718	—	Acquired	245887	Indirect
2021-02-09	Common Stock	X	5655	$0.07	Acquired	251542	Indirect
2021-02-09	Common Stock	S	20	$20.00	Disposed	251522	Indirect
2021-02-09	Common Stock	P	24267	$20.00	Acquired	275789	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-09	Series B Preferred Stock	$	C	1092080	Disposed		Common Stock (1092080)	Indirect
2021-02-09	Series C- 1 Preferred Stock	$	C	317922	Disposed		Common Stock (317922)	Indirect
2021-02-09	Series C- 2 Preferred Stock	$	C	345568	Disposed		Common Stock (345568)	Indirect
2021-02-09	Warrant (Right to Buy)	$0.07	X	40953	Disposed	2028-07-26	Common Stock (40953)	Indirect
2021-02-09	Series B Preferred Stock	$	C	150802	Disposed		Common Stock (150802)	Indirect
2021-02-09	Series C- 1 Preferred Stock	$	C	43901	Disposed		Common Stock (43901)	Indirect
2021-02-09	Series C- 2 Preferred Stock	$	C	47718	Disposed		Common Stock (47718)	Indirect
2021-02-09	Warrant (Right to Buy)	$0.07	X	5655	Disposed	2028-07-26	Common Stock (5655)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	577425	Indirect
Common Stock	321428	Indirect
Common Stock	321428	Indirect

Footnotes

F1: 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.

F2: 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.

F3: 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.

F4: 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.

F5: 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.

F6: 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.

F7: 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.

F8: The Reporting Person is trustee of the Engleman Family Trust.

F9: The Reporting Person's spouse is trustee of The Erik Nathan Engleman Irrevocable Trust dated December 06, 2012.

F10: The Reporting Person's spouse is trustee of The Jason Engleman Irrevocable GST Trust dated December 06, 2012.

F11: The shares subject to this warrant were fully vested prior to exercise.