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Bolt Biotherapeutics, Inc. — Director's Dealing 2021
Feb 5, 2021
35210_dirs_2021-02-04_e234f7b7-7a30-48ac-b035-708722fc699c.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Bolt Biotherapeutics, Inc. (BOLT)
CIK: 0001641281
Period of Report: 2021-02-04
Reporting Person: Vivo Capital VIII, LLC (10% Owner)
Reporting Person: Vivo Capital Fund VIII, L.P. (10% Owner)
Reporting Person: Vivo Capital Surplus Fund VIII, L.P. (10% Owner)
Reporting Person: Vivo Panda Fund, L.P. (10% Owner)
Reporting Person: Vivo Panda, LLC (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 25104 | Indirect |
| Common Stock | 3466 | Indirect |
| Common Stock | 14285 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A-1 Preferred Stock | $0.00 | Common Stock (944056) | Indirect | ||
| Series B Preferred Stock | $0.00 | Common Stock (472296) | Indirect | ||
| Warrant (Right to Buy) | $0.07 | 2028-07-26 | Common Stock (17711) | Indirect | |
| Series B Preferred Stock | $0.00 | Common Stock (1092080) | Indirect | ||
| Series C-1 Preferred Stock | $0.00 | Common Stock (317922) | Indirect | ||
| Series C-2 Preferred Stock | $0.00 | Common Stock (345568) | Indirect | ||
| Warrant (Right to Buy) | $0.07 | 2028-07-26 | Common Stock (40953) | Indirect | |
| Series B Preferred Stock | $0.00 | Common Stock (150802) | Indirect | ||
| Series C-1 Preferred Stock | $0.00 | Common Stock (43901) | Indirect | ||
| Series C-2 Preferred Stock | $0.00 | Common Stock (47718) | Indirect | ||
| Warrant (Right to Buy) | $0.07 | 2028-07-26 | Common Stock (5655) | Indirect |
Footnotes
F1: 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.
F2: 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.
F3: 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.
F4: The Series A-1 Preferred Stock has no expiration date and is convertible into shares of Common Stock of the Issuer at the option of the holder. The shares of Series A-1 Preferred Stock will automatically convert into shares of Common Stock of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer (the "IPO").
F5: The Series B Preferred Stock has no expiration date and is convertible into shares of Common Stock of the Issuer at the option of the holder. The shares of Series B Preferred Stock will automatically convert into shares of Common Stock of the Issuer on a 1-to-1 basis upon closing of the IPO.
F6: The shares subject to this warrant are fully vested.
F7: This warrant will automatically be net exercised upon closing of the IPO if it is not exercised on or before such date.
F8: The Series C-1 Preferred Stock has no expiration date and is convertible into shares of Common Stock of the Issuer at the option of the holder. The shares of Series C-1 Preferred Stock will automatically convert into shares of Common Stock of the Issuer on a 1-to-1 basis upon closing of the IPO.
F9: The Series C-2 Preferred Stock has no expiration date and is convertible into shares of Common Stock of the Issuer at the option of the holder. The shares of Series C-2 Preferred Stock will automatically convert into shares of Common Stock of the Issuer on a 1-to-1 basis upon closing of the IPO.