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3//SEC Filing

Vivo Capital VIII, LLC 3

Accession 0001209191-21-007902

CIK 0001641281other
View on SEC.govCompany Profile

Filed

Feb 3, 7:00 PM ET

Accepted

Feb 4, 7:33 PM ET

Size

27.4 KB

Accession

0001209191-21-007902

Insider Transaction Report

Form 3
Period: 2021-02-04
Bolt Biotherapeutics, Inc.BOLT
Vivo Capital VIII, LLC
10% Owner
Holdings

  • Warrant (Right to Buy)

    (indirect: By Vivo PANDA Fund, L.P.)
    Exercise: $0.07Exp: 2028-07-26→ Common Stock (17,711 underlying)

  • Series B Preferred Stock

    (indirect: By Vivo Capital Fund VIII, L.P.)
    Exercise: $0.00→ Common Stock (1,092,080 underlying)

  • Series C-2 Preferred Stock

    (indirect: By Vivo Capital Fund VIII, L.P.)
    Exercise: $0.00→ Common Stock (345,568 underlying)

  • Warrant (Right to Buy)

    (indirect: By Vivo Capital Surplus Fund VIII, L.P.)
    Exercise: $0.07Exp: 2028-07-26→ Common Stock (5,655 underlying)

  • Warrant (Right to Buy)

    (indirect: By Vivo Capital Fund VIII, L.P.)
    Exercise: $0.07Exp: 2028-07-26→ Common Stock (40,953 underlying)

  • Series B Preferred Stock

    (indirect: By Vivo Capital Surplus Fund VIII, L.P.)
    Exercise: $0.00→ Common Stock (150,802 underlying)

  • Series C-2 Preferred Stock

    (indirect: By Vivo Capital Surplus Fund VIII, L.P.)
    Exercise: $0.00→ Common Stock (47,718 underlying)

  • Common Stock

    (indirect: By Vivo Capital Fund VIII, L.P.)
    25,104

  • Common Stock

    (indirect: By Vivo Capital Surplus Fund VIII, L.P.)
    3,466

  • Common Stock

    (indirect: By Vivo PANDA Fund, L.P.)
    14,285

  • Series A-1 Preferred Stock

    (indirect: By Vivo PANDA Fund, L.P.)
    Exercise: $0.00→ Common Stock (944,056 underlying)

  • Series B Preferred Stock

    (indirect: By Vivo PANDA Fund, L.P.)
    Exercise: $0.00→ Common Stock (472,296 underlying)

  • Series C-1 Preferred Stock

    (indirect: By Vivo Capital Fund VIII, L.P.)
    Exercise: $0.00→ Common Stock (317,922 underlying)

  • Series C-1 Preferred Stock

    (indirect: By Vivo Capital Surplus Fund VIII, L.P.)
    Exercise: $0.00→ Common Stock (43,901 underlying)
Footnotes (9)
  • [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.

Documents

1 file

Issuer

Bolt Biotherapeutics, Inc.

CIK 0001641281

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Entity typeother

Related Parties

1
  • filerCIK 0001618789

Filing Metadata

Form type
3
Filed
Feb 3, 7:00 PM ET
Accepted
Feb 4, 7:33 PM ET
Size
27.4 KB
View on SEC.gov