0001209191-21-008758.txt : 20210209 0001209191-21-008758.hdr.sgml : 20210209 20210209153746 ACCESSION NUMBER: 0001209191-21-008758 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: Vivo Capital VIII, LLC CENTRAL INDEX KEY: 0001618789 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39988 FILM NUMBER: 21606099 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650 688 0822 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital Fund VIII, L.P. CENTRAL INDEX KEY: 0001618788 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39988 FILM NUMBER: 21606100 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650 688 0818 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital Surplus Fund VIII, L.P. CENTRAL INDEX KEY: 0001628048 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39988 FILM NUMBER: 21606101 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650 688 0818 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Panda Fund, L.P. CENTRAL INDEX KEY: 0001675490 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39988 FILM NUMBER: 21606102 BUSINESS ADDRESS: STREET 1: 575 HIGH STREET, SUITE 201 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 575 HIGH STREET, SUITE 201 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Panda, LLC CENTRAL INDEX KEY: 0001843847 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39988 FILM NUMBER: 21606103 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-688-0818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Opportunity Fund, L.P. CENTRAL INDEX KEY: 0001726403 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39988 FILM NUMBER: 21606104 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650-688-0818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Opportunity, LLC CENTRAL INDEX KEY: 0001728970 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39988 FILM NUMBER: 21606105 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE 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 0001618789 Vivo Capital VIII, LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001618788 Vivo Capital Fund VIII, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001628048 Vivo Capital Surplus Fund VIII, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001675490 Vivo Panda Fund, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001843847 Vivo Panda, LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001726403 Vivo Opportunity Fund, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001728970 Vivo Opportunity, LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 Common Stock 2021-02-09 4 C 0 944056 A 958341 I By Vivo PANDA Fund, L.P. Common Stock 2021-02-09 4 C 0 472296 A 1430637 I By Vivo PANDA Fund, L.P. Common Stock 2021-02-09 4 X 0 17711 0.07 A 1448348 I By Vivo PANDA Fund, L.P. Common Stock 2021-02-09 4 S 0 62 20.00 D 1448286 I By Vivo PANDA Fund, L.P. 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 2021-02-09 4 P 0 150000 20.00 A 150000 I By Vivo Opportunity Fund, L.P. Series A-1 Preferred Stock 2021-02-09 4 C 0 944056 0.00 D Common Stock 944056 0 I By Vivo PANDA Fund, L.P. Series B Preferred Stock 2021-02-09 4 C 0 472296 0.00 D Common Stock 472296 0 I By Vivo PANDA Fund, L.P. Warrant (Right to Buy) 0.07 2021-02-09 4 X 0 17711 0.00 D 2028-07-26 Common Stock 17711 0 I By Vivo PANDA Fund, L.P. 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 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. 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. 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. 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. 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. 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 Fund VIII, L.P. Edgar Engleman is one of three voting members of Vivo Capital VIII, LLC. 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 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. The shares subject to this warrant were fully vested prior to exercise. Vivo Capital VIII, LLC, By: /s/ Frank Kung, Ph.D., Managing Member 2021-02-09 Vivo Capital Fund VIII, L.P., By: Vivo Capital VIII, LLC, its general partner, By: /s/ Frank Kung, Ph.D., Managing Member 2021-02-09 Vivo Capital Surplus Fund VIII, L.P., By: Vivo Capital VIII, LLC, its general partner, By: /s/ Frank Kung, Ph.D., Managing Member 2021-02-09 Vivo PANDA Fund, L.P., By: Vivo Panda, LLC, its general partner, By: /s/ Mahendra Shah, Ph.D., Managing Member 2021-02-09 Vivo Panda, LLC, By: /s/ Mahendra Shah, Ph.D., Managing Member 2021-02-09 Vivo Opportunity Fund, L.P., By: Vivo Opportunity, LLC, its general partner, By: /s/ Frank Kung, Ph.D., Managing Member 2021-02-09 Vivo Opportunity, LLC, By: /s/ Frank Kung, Ph.D., Managing Member 2021-02-09