0001209191-21-008744.txt : 20210209 0001209191-21-008744.hdr.sgml : 20210209 20210209152552 ACCESSION NUMBER: 0001209191-21-008744 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210209 FILED AS OF DATE: 20210209 DATE AS OF CHANGE: 20210209 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ENGLEMAN EDGAR CENTRAL INDEX KEY: 0001227162 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39988 FILM NUMBER: 21605974 MAIL ADDRESS: STREET 1: 575 HIGH STREET STREET 2: STE 201 CITY: PALO ALTO STATE: CA ZIP: 94301 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bolt Biotherapeutics, Inc. CENTRAL INDEX KEY: 0001641281 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 472804636 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 900 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-665-9295 MAIL ADDRESS: STREET 1: 900 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FORMER COMPANY: FORMER CONFORMED NAME: Bolt Therapeutics, Inc. DATE OF NAME CHANGE: 20150504 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-02-09 0 0001641281 Bolt Biotherapeutics, Inc. BOLT 0001227162 ENGLEMAN EDGAR C/O BOLT BIOTHERAPEUTICS, INC. 900 CHESAPEAKE DRIVE REDWOOD CITY CA 94063 1 0 1 0 Common Stock 2021-02-09 4 C 0 1092080 A 1117184 I By Vivo Capital Fund VIII, L.P. Common Stock 2021-02-09 4 C 0 317922 A 1435106 I By Vivo Capital Fund VIII, L.P. Common Stock 2021-02-09 4 C 0 345568 A 1780674 I By Vivo Capital Fund VIII, L.P. Common Stock 2021-02-09 4 X 0 40953 0.07 A 1821627 I By Vivo Capital Fund VIII, L.P. Common Stock 2021-02-09 4 S 0 144 20.00 D 1821483 I By Vivo Capital Fund VIII, L.P. Common Stock 2021-02-09 4 P 0 175733 20.00 A 1997216 I By Vivo Capital Fund VIII, L.P. Common Stock 2021-02-09 4 C 0 150802 A 154268 I By Vivo Capital Surplus Fund VIII, L.P. Common Stock 2021-02-09 4 C 0 43901 A 198169 I By Vivo Capital Surplus Fund VIII, L.P. Common Stock 2021-02-09 4 C 0 47718 A 245887 I By Vivo Capital Surplus Fund VIII, L.P. Common Stock 2021-02-09 4 X 0 5655 0.07 A 251542 I By Vivo Capital Surplus Fund VIII, L.P. Common Stock 2021-02-09 4 S 0 20 20.00 D 251522 I By Vivo Capital Surplus Fund VIII, L.P. Common Stock 2021-02-09 4 P 0 24267 20.00 A 275789 I By Vivo Capital Surplus Fund VIII, L.P. Common Stock 577425 I By Engleman Family Trust Common Stock 321428 I By The Erik Nathan Engleman Irrevocable Trust dated December 06, 2012 Common Stock 321428 I By The Jason Engleman Irrevocable GST Trust dated December 06, 2012 Series B Preferred Stock 2021-02-09 4 C 0 1092080 0.00 D Common Stock 1092080 0 I By Vivo Capital Fund VIII, L.P. Series C- 1 Preferred Stock 2021-02-09 4 C 0 317922 0.00 D Common Stock 317922 0 I By Vivo Capital Fund VIII, L.P. Series C- 2 Preferred Stock 2021-02-09 4 C 0 345568 0.00 D Common Stock 345568 0 I By Vivo Capital Fund VIII, L.P. Warrant (Right to Buy) 0.07 2021-02-09 4 X 0 40953 0.00 D 2028-07-26 Common Stock 40953 0 I By Vivo Capital Fund VIII, L.P. Series B Preferred Stock 2021-02-09 4 C 0 150802 0.00 D Common Stock 150802 0 I By Vivo Capital Surplus Fund VIII, L.P. Series C- 1 Preferred Stock 2021-02-09 4 C 0 43901 0.00 D Common Stock 43901 0 I By Vivo Capital Surplus Fund VIII, L.P. Series C- 2 Preferred Stock 2021-02-09 4 C 0 47718 0.00 D Common Stock 47718 0 I By Vivo Capital Surplus Fund VIII, L.P. Warrant (Right to Buy) 0.07 2021-02-09 4 X 0 5655 0.00 D 2028-07-26 Common Stock 5655 0 I By Vivo Capital Surplus Fund VIII, L.P. 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. 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. 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. 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. 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. 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. 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. The Reporting Person is trustee of the Engleman Family Trust. The Reporting Person's spouse is trustee of The Erik Nathan Engleman Irrevocable Trust dated December 06, 2012. The Reporting Person's spouse is trustee of The Jason Engleman Irrevocable GST Trust dated December 06, 2012. The shares subject to this warrant were fully vested prior to exercise. /s/ Brian Woodard, Attorney-in-Fact 2021-02-09