4//SEC Filing
ENGLEMAN EDGAR 4
Accession 0001209191-21-008744
CIK 0001641281other
Filed
Feb 8, 7:00 PM ET
Accepted
Feb 9, 3:25 PM ET
Size
48.1 KB
Accession
0001209191-21-008744
Insider Transaction Report
Form 4
ENGLEMAN EDGAR
Director10% Owner
Transactions
- Conversion
Common Stock
2021-02-09+345,568→ 1,780,674 total(indirect: By Vivo Capital Fund VIII, L.P.) - Sale
Common Stock
2021-02-09$20.00/sh−144$2,880→ 1,821,483 total(indirect: By Vivo Capital Fund VIII, L.P.) - Exercise of In-Money
Warrant (Right to Buy)
2021-02-09−40,953→ 0 total(indirect: By Vivo Capital Fund VIII, L.P.)Exercise: $0.07Exp: 2028-07-26→ Common Stock (40,953 underlying) - Conversion
Series C- 1 Preferred Stock
2021-02-09−43,901→ 0 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)→ Common Stock (43,901 underlying) - Conversion
Common Stock
2021-02-09+1,092,080→ 1,117,184 total(indirect: By Vivo Capital Fund VIII, L.P.) - Exercise of In-Money
Common Stock
2021-02-09$0.07/sh+40,953$2,867→ 1,821,627 total(indirect: By Vivo Capital Fund VIII, L.P.) - Purchase
Common Stock
2021-02-09$20.00/sh+175,733$3,514,660→ 1,997,216 total(indirect: By Vivo Capital Fund VIII, L.P.) - Conversion
Common Stock
2021-02-09+150,802→ 154,268 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.) - Conversion
Common Stock
2021-02-09+43,901→ 198,169 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.) - Conversion
Common Stock
2021-02-09+47,718→ 245,887 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.) - Conversion
Series C- 1 Preferred Stock
2021-02-09−317,922→ 0 total(indirect: By Vivo Capital Fund VIII, L.P.)→ Common Stock (317,922 underlying) - Conversion
Series C- 2 Preferred Stock
2021-02-09−47,718→ 0 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)→ Common Stock (47,718 underlying) - Conversion
Common Stock
2021-02-09+317,922→ 1,435,106 total(indirect: By Vivo Capital Fund VIII, L.P.) - Exercise of In-Money
Common Stock
2021-02-09$0.07/sh+5,655$396→ 251,542 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.) - Sale
Common Stock
2021-02-09$20.00/sh−20$400→ 251,522 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.) - Purchase
Common Stock
2021-02-09$20.00/sh+24,267$485,340→ 275,789 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.) - Conversion
Series B Preferred Stock
2021-02-09−1,092,080→ 0 total(indirect: By Vivo Capital Fund VIII, L.P.)→ Common Stock (1,092,080 underlying) - Conversion
Series C- 2 Preferred Stock
2021-02-09−345,568→ 0 total(indirect: By Vivo Capital Fund VIII, L.P.)→ Common Stock (345,568 underlying) - Conversion
Series B Preferred Stock
2021-02-09−150,802→ 0 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)→ Common Stock (150,802 underlying) - Exercise of In-Money
Warrant (Right to Buy)
2021-02-09−5,655→ 0 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)Exercise: $0.07Exp: 2028-07-26→ Common Stock (5,655 underlying)
Holdings
- 321,428(indirect: By Trust)
Common Stock
- 577,425(indirect: By Trust)
Common Stock
- 321,428(indirect: By Trust)
Common Stock
Footnotes (11)
- [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.
- [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.
- [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.
Documents
Issuer
Bolt Biotherapeutics, Inc.
CIK 0001641281
Entity typeother
Related Parties
1- filerCIK 0001227162
Filing Metadata
- Form type
- 4
- Filed
- Feb 8, 7:00 PM ET
- Accepted
- Feb 9, 3:25 PM ET
- Size
- 48.1 KB