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