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Bolt Biotherapeutics, Inc.·4

Feb 9, 3:37 PM ET

Vivo Capital VIII, LLC 4

4 · Bolt Biotherapeutics, Inc. · Filed Feb 9, 2021

Insider Transaction Report

Form 4
Period: 2021-02-09
Bolt Biotherapeutics, Inc.BOLT
Vivo Capital VIII, LLC
10% Owner
Transactions
  • Conversion

    Common Stock

    [F1][F2]
    2021-02-09+944,056→ 958,341 total(indirect: By Vivo PANDA Fund, L.P.)
  • Conversion

    Common Stock

    [F3][F2]
    2021-02-09+472,296→ 1,430,637 total(indirect: By Vivo PANDA Fund, L.P.)
  • Exercise of In-Money

    Common Stock

    [F2]
    2021-02-09$0.07/sh+17,711$1,240→ 1,448,348 total(indirect: By Vivo PANDA Fund, L.P.)
  • Sale

    Common Stock

    [F4][F2]
    2021-02-09$20.00/sh−62$1,240→ 1,448,286 total(indirect: By Vivo PANDA Fund, L.P.)
  • Conversion

    Common Stock

    [F3][F5]
    2021-02-09+1,092,080→ 1,117,184 total(indirect: By Vivo Capital Fund VIII, L.P.)
  • Conversion

    Common Stock

    [F6][F5]
    2021-02-09+317,922→ 1,435,106 total(indirect: By Vivo Capital Fund VIII, L.P.)
  • Conversion

    Common Stock

    [F7][F5]
    2021-02-09+345,568→ 1,780,674 total(indirect: By Vivo Capital Fund VIII, L.P.)
  • Exercise of In-Money

    Common Stock

    [F5]
    2021-02-09$0.07/sh+40,953$2,867→ 1,821,627 total(indirect: By Vivo Capital Fund VIII, L.P.)
  • Sale

    Common Stock

    [F8][F5]
    2021-02-09$20.00/sh−144$2,880→ 1,821,483 total(indirect: By Vivo Capital Fund VIII, L.P.)
  • Purchase

    Common Stock

    [F5]
    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

    [F3][F9]
    2021-02-09+150,802→ 154,268 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
  • Conversion

    Common Stock

    [F6][F9]
    2021-02-09+43,901→ 198,169 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
  • Conversion

    Common Stock

    [F7][F9]
    2021-02-09+47,718→ 245,887 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
  • Exercise of In-Money

    Common Stock

    [F9]
    2021-02-09$0.07/sh+5,655$396→ 251,542 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
  • Sale

    Common Stock

    [F10][F9]
    2021-02-09$20.00/sh−20$400→ 251,522 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
  • Purchase

    Common Stock

    [F9]
    2021-02-09$20.00/sh+24,267$485,340→ 275,789 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
  • Purchase

    Common Stock

    [F11]
    2021-02-09$20.00/sh+150,000$3,000,000→ 150,000 total(indirect: By Vivo Opportunity Fund, L.P.)
  • Conversion

    Series A-1 Preferred Stock

    [F1][F2]
    2021-02-09−944,056→ 0 total(indirect: By Vivo PANDA Fund, L.P.)
    → Common Stock (944,056 underlying)
  • Conversion

    Series B Preferred Stock

    [F3][F2]
    2021-02-09−472,296→ 0 total(indirect: By Vivo PANDA Fund, L.P.)
    → Common Stock (472,296 underlying)
  • Exercise of In-Money

    Warrant (Right to Buy)

    [F12][F2]
    2021-02-09−17,711→ 0 total(indirect: By Vivo PANDA Fund, L.P.)
    Exercise: $0.07Exp: 2028-07-26→ Common Stock (17,711 underlying)
  • Conversion

    Series B Preferred Stock

    [F3][F5]
    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-1 Preferred Stock

    [F6][F5]
    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

    [F7][F5]
    2021-02-09−345,568→ 0 total(indirect: By Vivo Capital Fund VIII, L.P.)
    → Common Stock (345,568 underlying)
  • Exercise of In-Money

    Warrant (Right to Buy)

    [F12][F5]
    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 B Preferred Stock

    [F3][F9]
    2021-02-09−150,802→ 0 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
    → Common Stock (150,802 underlying)
  • Conversion

    Series C-1 Preferred Stock

    [F6][F9]
    2021-02-09−43,901→ 0 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
    → Common Stock (43,901 underlying)
  • Conversion

    Series C-2 Preferred Stock

    [F7][F9]
    2021-02-09−47,718→ 0 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
    → Common Stock (47,718 underlying)
  • Exercise of In-Money

    Warrant (Right to Buy)

    [F12][F9]
    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)
Footnotes (12)
  • [F1]The Series A-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 initial public offering (the "IPO") and had no expiration date.
  • [F10]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.
  • [F11]The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF and has four managing members.
  • [F12]The shares subject to this warrant were fully vested prior to exercise.
  • [F2]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.
  • [F3]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 IPO and had no expiration date.
  • [F4]Upon closing of the Issuer's IPO, Vivo LP exercised a warrant to purchase 17,711 shares of the Issuer's Common Stock at an exercise price per share of $0.07. Vivo LP paid the exercise price on a cashless basis, resulting in the Issuer withholding 62 share subject to the warrant in order to pay the exercise price and issuing to Vivo LP the remaining 17,649 shares of Common Stock.
  • [F5]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.
  • [F6]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.
  • [F7]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.
  • [F8]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.
  • [F9]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.

Documents

1 file
  • 4
    doc4.xmlPrimary

    FORM 4 SUBMISSION