Vivo Capital VIII, LLC 4

Accession 0001209191-21-008758

CIK 0001641281other

View on SEC.gov Company Profile

Filed

Feb 8, 7:00 PM ET

Accepted

Feb 9, 3:37 PM ET

Size

71.3 KB

Accession

0001209191-21-008758

Insider Transaction Report

Form 4

Period: 2021-02-09

Bolt Biotherapeutics, Inc.BOLT

Vivo Capital VIII, LLC

10% Owner

Transactions

Exercise of In-Money
Common Stock
2021-02-09$0.07/sh+17,711$1,240→ 1,448,348 total(indirect: By Vivo PANDA Fund, L.P.)
Sale
Common Stock
2021-02-09$20.00/sh−62$1,240→ 1,448,286 total(indirect: By Vivo PANDA Fund, L.P.)
Conversion
Common Stock
2021-02-09+345,568→ 1,780,674 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.)
Sale
Common Stock
2021-02-09$20.00/sh−144$2,880→ 1,821,483 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+47,718→ 245,887 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
Purchase
Common Stock
2021-02-09$20.00/sh+150,000$3,000,000→ 150,000 total(indirect: By Vivo Opportunity Fund, L.P.)
Conversion
Series B Preferred Stock
2021-02-09−472,296→ 0 total(indirect: By Vivo PANDA Fund, L.P.)
→ Common Stock (472,296 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 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+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.)
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)
Sale
Common Stock
2021-02-09$20.00/sh−20$400→ 251,522 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)
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
Common Stock
2021-02-09+944,056→ 958,341 total(indirect: By Vivo PANDA Fund, L.P.)
Conversion
Common Stock
2021-02-09+1,092,080→ 1,117,184 total(indirect: By Vivo Capital Fund VIII, L.P.)
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.)
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 A-1 Preferred Stock
2021-02-09−944,056→ 0 total(indirect: By Vivo PANDA Fund, L.P.)
→ Common Stock (944,056 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+472,296→ 1,430,637 total(indirect: By Vivo PANDA Fund, L.P.)
Exercise of In-Money
Warrant (Right to Buy)
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 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 B Preferred Stock
2021-02-09−150,802→ 0 total(indirect: By Vivo Capital Surplus Fund VIII, L.P.)
→ Common Stock (150,802 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

Issuer

Bolt Biotherapeutics, Inc.

CIK 0001641281

→

Entity typeother

Related Parties

filerCIK 0001618789

Filing Metadata

Form type: 4
Filed: Feb 8, 7:00 PM ET
Accepted: Feb 9, 3:37 PM ET
Size: 71.3 KB

View on SEC.gov