| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 02/04/2021 | 3. Issuer Name and Ticker or Trading Symbol Bolt Biotherapeutics, Inc. [ BOLT ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to Buy) | (1) | 01/17/2027 | Common Stock | 64,285 | 2.1 | D | |
| Stock Option (Right to Buy) | (1) | 01/16/2028 | Common Stock | 13,207 | 2.03 | D | |
| Stock Option (Right to Buy) | (2) | 04/03/2028 | Common Stock | 16,444 | 2.03 | D | |
| Stock Option (Right to Buy) | (3) | 01/10/2029 | Common Stock | 33,075 | 2.24 | D | |
| Stock Option (Right to Buy) | (4) | 11/13/2029 | Common Stock | 92,857 | 2.73 | D | |
| Stock Option (Right to Buy) | (5) | 09/02/2030 | Common Stock | 12,142 | 4.34 | D | |
| Stock Option (Right to Buy) | (6) | 09/02/2030 | Common Stock | 30,714 | 4.34 | D | |
| Explanation of Responses: |
| 1. 1/4th of the shares subject to the option shall vest on the one year anniversary of November 1, 2016 (the "Vesting Commencement Date"), and 1/48th of the shares shall vest each month thereafter on the same day of the month as the Vesting Commencement Date, subject to the Reporting Person continuing to be a service provider through each such date. |
| 2. 1/4th of the shares subject to the option shall vest on the one year anniversary of February 14, 2018 (the "February 2018 Vesting Commencement Date"), and 1/48th of the shares shall vest each month thereafter on the same day of the month as the February 2018 Vesting Commencement Date, subject to the Reporting Person continuing to be a service provider through each such date. |
| 3. 1/4th of the shares subject to the option shall vest on the one year anniversary of July 23, 2018 (the "July 2018 Vesting Commencement Date"), and 1/48th of the shares shall vest each month thereafter on the same day of the month as the July 2018 Vesting Commencement Date, subject to the Reporting Person continuing to be a service provider through each such date. |
| 4. 1/48th of the shares subject to the option shall vest on the one-month anniversary of July 2, 2019 (the "July 2019 Vesting Commencement Date") and 1/48th of the shares shall vest each month thereafter on the same day of the month as the July 2019 Vesting Commencement Date, subject to the Reporting Person continuing to be a service provider to the Issuer through each such date. |
| 5. For so long as the Reporting Person continuously provides services to the Issuer (or any subsidiary or parent of the Issuer) as an employee, officer, director, contractor or consultant, through the applicable vesting dates, this option will vest and become exercisable as follows: (a) prior to September 3, 2020 (the "September 2020 Vesting Commencement Date"), this option will not be vested or exercisable as to any of the shares subject to the option; and (b) following the September 2020 Vesting Commencement Date, this option will become vested and exercisable with respect to 1/48th of the shares subject to the option when the Reporting Person completes each month of continuous service following the September 2020 Vesting Commencement Date. |
| 6. For so long as the Reporting Person continuously provides services to the Issuer (or any subsidiary or parent of the Issuer) as an employee, officer, director, contractor or consultant, through the applicable vesting dates, this option will vest and become exercisable as follows: (a) prior to January 15, 2021 (the "January 2021 Vesting Commencement Date"), this option will not be vested or exercisable as to any of the shares subject to the option; and (b) following the January 2021 Vesting Commencement Date, this option will become vested and exercisable with respect to 1/48th of the shares subject to the option when the Reporting Person completes each month of continuous service following the January 2021 Vesting Commencement Date. |
| Remarks: |
| Exhibit 24 - Power of Attorney |
| /s/ Brian Woodard, Attorney-in-Fact | 02/04/2021 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
