Bolt Biotherapeutics, Inc. — Director's Dealing 2021

Feb 4, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Bolt Biotherapeutics, Inc. (BOLT)
CIK: 0001641281
Period of Report: 2021-02-04

Reporting Person: ENGLEMAN EDGAR (Director, 10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	577425	Indirect
Common Stock	321428	Indirect
Common Stock	321428	Indirect
Common Stock	25104	Indirect
Common Stock	3466	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series Seed Preferred Stock	$0.00		Common Stock (57946)		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)	$0.00	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)	$0.00	2028-07-26	Common Stock (5655)		Indirect

Footnotes

F1: The Reporting Person is trustee of the Engleman Family Trust.

F2: The Reporting Person's spouse is trustee of The Erik Nathan Engleman Irrevocable Trust dated December 06, 2012.

F3: The Reporting Person's spouse is trustee of The Jason Engleman Irrevocable GST Trust dated December 06, 2012.

F4: 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.

F5: 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.

F6: The Series Seed 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 Seed 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").

F7: 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.

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.

F10: The shares subject to this warrant are fully vested.

F11: This warrant will automatically be net exercised upon closing of the IPO if it is not exercised on or before such date.