organization · Reporting owner

Vivo Capital Fund VIII, L.P.

Disclosed activity across 8 companies

Tapewire entity: 92275
SEC CIK: 0001618788

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Aligos Therapeutics, Inc.ALGS · Entity 7352	10% owner	October 20, 2020	October 20, 2020
Kadmon Holdings, Inc.KDMN · Entity 133686	10% owner	January 07, 2019	January 08, 2019
Timber Pharmaceuticals, Inc.BPMX · Entity 110330	10% owner	April 28, 2017	May 01, 2017
Yarrow Bioscience, Inc.MNLO · Entity 6871	10% owner	January 25, 2018	January 29, 2018

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Aligos Therapeutics, Inc.

Report date October 20, 2020 · Filed October 20, 2020

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectVivo Capital Fund VIII, L.P.	3,116,658	Last balance in matching sequence After 2020-10-20 transaction · row 7 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 1 · 2020-10-20 · Conversion · Acquired 1,885,611 · Balance 1,885,611 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 2 · 2020-10-20 · Conversion · Acquired 523,726 · Balance 2,409,337 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2020-10-20 · Conversion · Acquired 224,054 · Balance 2,633,391 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 7 · 2020-10-20 · Purchase · Acquired 483,267 · Balance 3,116,658 F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectVivo Capital Surplus Fund VIII, L.P.	430,372	Last balance in matching sequence After 2020-10-20 transaction · row 8 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 4 · 2020-10-20 · Conversion · Acquired 260,380 · Balance 260,380 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2020-10-20 · Conversion · Acquired 72,320 · Balance 332,700 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2020-10-20 · Conversion · Acquired 30,939 · Balance 363,639 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 8 · 2020-10-20 · Purchase · Acquired 66,733 · Balance 430,372 F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectVivo Capital Fund VIII, L.P.	0	Reported balance After 2020-10-20 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2020-10-20 · Conversion · Disposed 1,885,611 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectVivo Capital Surplus Fund VIII, L.P.	0	Reported balance After 2020-10-20 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2020-10-20 · Conversion · Disposed 260,380 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series B-1 Preferred StockSEC Table II · derivative / convertible security	IndirectVivo Capital Fund VIII, L.P.	0	Reported balance After 2020-10-20 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2020-10-20 · Conversion · Disposed 523,726 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series B-1 Preferred StockSEC Table II · derivative / convertible security	IndirectVivo Capital Surplus Fund VIII, L.P.	0	Reported balance After 2020-10-20 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2020-10-20 · Conversion · Disposed 72,320 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series B-2 Preferred StockSEC Table II · derivative / convertible security	IndirectVivo Capital Fund VIII, L.P.	0	Reported balance After 2020-10-20 transaction · row 13 Instrument identity requires review; Table II rows are not merged. 1 source row Row 13 · 2020-10-20 · Conversion · Disposed 224,054 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series B-2 Preferred StockSEC Table II · derivative / convertible security	IndirectVivo Capital Surplus Fund VIII, L.P.	0	Reported balance After 2020-10-20 transaction · row 14 Instrument identity requires review; Table II rows are not merged. 1 source row Row 14 · 2020-10-20 · Conversion · Disposed 30,939 · Balance 0 F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date.

F2: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Kadmon Holdings, Inc.

Report date January 07, 2019 · Filed January 08, 2019

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity, LLC, Vivo Opportunity Fund, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Capital Fund VIII, L.P.	3,195,151	Reported balance Holding disclosure · report date 2019-01-07 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,195,151 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy Vivo Capital Surplus Fund VIII, L.P.	441,212	Reported balance Holding disclosure · report date 2019-01-07 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 441,212 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy Vivo Opportunity Fund, L.P.	8,970,242	Reported balance Holding disclosure · report date 2019-01-07 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 8,970,242 F2: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2022-09-28	IndirectBy Vivo Capital Fund VIII, L.P.	Not disclosed	Reported balance Holding disclosure · report date 2019-01-07 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2022-09-28	IndirectBy Vivo Capital Surplus Fund VIII, L.P.	Not disclosed	Reported balance Holding disclosure · report date 2019-01-07 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance Not disclosed F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Albert Cha, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: The Warrants may be exercised at any time on or after September 28, 2017. Each warrant represents the right to purchase 0.4 of a share of Common Stock of the Issuer, provided, however, that the warrant holder will be prohibited from exercising the warrants if and to the extent, as a result of such exercise, the holder, together with its affiliates and certain related parties, and any persons acting as a group together with such holder or any affiliate, would own more than 9.99% of the total number of shares of Common Stock of the Issuer outstanding immediately after giving effect to such exercise.

Timber Pharmaceuticals, Inc.

Report date April 28, 2017 · Filed May 01, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	14,096,338	Reported balance After 2017-04-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2017-04-28 · Purchase · Acquired 1,282,052 · Balance 14,096,338 F1: These shares are owned directly by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these shares. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such shares. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
Common Stock Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2022-10-28	IndirectSee Footnote	641,026	Reported balance After 2017-04-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-04-28 · Purchase · Acquired 641,026 · Balance 641,026 F3: These warrants are granted to Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these warrants. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such warrants. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these warrants and each of whom disclaims beneficial ownership of such warrants except to the extent of his pecuniary interest therein. F2: These warrants will be exercisable at any time on or after October 28, 2017, provided that the warrant holder(s) will be prohibited from exercising this warrant, if after giving effect to such exercise, the holder(s) (together with such holder(s)'s affiliates and any other persons acting as a group together) would beneficially own in excess of 19.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. These warrants will expire on October 28, 2022.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are owned directly by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these shares. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such shares. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these shares and each of whom disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2: These warrants will be exercisable at any time on or after October 28, 2017, provided that the warrant holder(s) will be prohibited from exercising this warrant, if after giving effect to such exercise, the holder(s) (together with such holder(s)'s affiliates and any other persons acting as a group together) would beneficially own in excess of 19.99% of the shares of common stock of the Issuer outstanding immediately after giving effect to such exercise. These warrants will expire on October 28, 2022.

F3: These warrants are granted to Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., which are the record owners of these warrants. Vivo Capital VIII, LLC is the general partner of both Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. and may be deemed to beneficially own such warrants. The voting members of Vivo Capital VIII, LLC are Frank Kung, Albert Cha, Edgar Engleman, Chen Yu, and Shan Fu, none of whom has individual voting or investment power with respect to these warrants and each of whom disclaims beneficial ownership of such warrants except to the extent of his pecuniary interest therein.

Yarrow Bioscience, Inc.

Report date January 25, 2018 · Filed January 29, 2018

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Capital Fund VIII, L.P.	3,524,541	Last balance in matching sequence After 2018-01-29 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2018-01-25 · Purchase · Acquired 258,432 · Balance 258,432 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2018-01-29 · Conversion · Acquired 2,348,550 · Balance 2,606,982 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2018-01-29 · Conversion · Acquired 917,559 · Balance 3,524,541 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy Vivo Capital Surplus Fund III, L.P.	486,695	Last balance in matching sequence After 2018-01-29 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 2 · 2018-01-25 · Purchase · Acquired 35,686 · Balance 35,686 F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2018-01-29 · Conversion · Acquired 324,306 · Balance 359,992 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2018-01-29 · Conversion · Acquired 126,703 · Balance 486,695 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectBy Vivo Capital Fund VIII, L.P.	0	Reported balance After 2018-01-29 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2018-01-29 · Conversion · Disposed 6,335,215 · Balance 0 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectBy Vivo Capital Surplus Fund III, L.P.	0	Reported balance After 2018-01-29 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2018-01-29 · Conversion · Disposed 874,817 · Balance 0 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series C Preferred StockSEC Table II · derivative / convertible security	IndirectBy Vivo Capital Fund VIII, L.P.	0	Reported balance After 2018-01-29 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2018-01-29 · Conversion · Disposed 2,475,118 · Balance 0 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Series C Preferred StockSEC Table II · derivative / convertible security	IndirectBy Vivo Capital Surplus Fund III, L.P.	0	Reported balance After 2018-01-29 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2018-01-29 · Conversion · Disposed 341,784 · Balance 0 F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock. F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. ("VCF") and Vivo Capital Surplus Fund VIII, L.P. ("VCSF"), the record holder of the securities, and disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: Albert Cha, a director of the issuer, Frank Kung, Edgar Engleman, Chen Yu and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by VCF and VCSF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of the Series B Preferred Stock and Series C Preferred Stock automatically converted into 0.3707 shares of the Issuer's common stock.

Past disclosures · reporting ended (4)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Bolt Biotherapeutics, Inc.

Report date November 21, 2023 · Filed November 22, 2023

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P., Vivo Opportunity, LLC, Vivo Opportunity Fund Holdings, L.P., Vivo Panda, LLC, Vivo Panda Fund, L.P.

Section 16 reporting ended · disclosed 2023-11-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund VIII, L.P.	1,952,302	Reported balance After 2023-11-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-11-21 · Sale · Disposed 1,707 · Balance 1,952,302 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Surplus Fund VIII, L.P.	269,587	Reported balance After 2023-11-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-11-21 · Sale · Disposed 236 · Balance 269,587 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Opportunity Fund Holdings, L.P.	111,662	Reported balance After 2023-11-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2023-11-21 · Sale · Disposed 1,457 · Balance 111,662 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F3: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Panda Fund, L.P.	1,448,286	Reported balance Holding disclosure · report date 2023-11-21 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 1,448,286

Filing footnotes · ownership attribution and instrument terms

F1: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.90 to $0.90, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

Crinetics Pharmaceuticals, Inc.

Report date April 15, 2020 · Filed April 17, 2020

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.

Section 16 reporting ended · disclosed 2020-04-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	2,263,447	Reported balance After 2020-04-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-04-15 · Sale · Disposed 189,625 · Balance 2,263,447 F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.4 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	312,553	Reported balance After 2020-04-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2020-04-15 · Sale · Disposed 26,185 · Balance 312,553 F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.4 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	2,236,920	Reported balance After 2020-04-16 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2020-04-16 · Sale · Disposed 26,527 · Balance 2,236,920 F5: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.0 to $15.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4. F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	308,890	Reported balance After 2020-04-16 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2020-04-16 · Sale · Disposed 3,663 · Balance 308,890 F5: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.0 to $15.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4. F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	2,162,587	Reported balance After 2020-04-17 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2020-04-17 · Sale · Disposed 74,333 · Balance 2,162,587 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.3 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectSee footnotes	298,625	Reported balance After 2020-04-17 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2020-04-17 · Sale · Disposed 10,265 · Balance 298,625 F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.3 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4. F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held of record by Vivo Capital Fund VIII, L.P. ("VCF").

F2: These securities are held of record by Vivo Capital Surplus Fund VIII, L.P. ("VCSF").

F3: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of VCF and VCSF. The voting members of Vivo LLC are Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu, none of whom has individual voting or investment power with respect to these securities. Each of the above-listed individuals disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for the purposes of Section 16 or for any other purposes.

F4: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.4 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.

F5: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.0 to $15.8, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (5) to this Form 4.

F6: The price reported herein is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.3 to $16.3, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (6) to this Form 4.

IPI Legacy Liquidation Co

Report date December 15, 2023 · Filed December 19, 2023

Jointly reported with Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.

Section 16 reporting ended · disclosed 2023-12-19. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund VIII, L.P.	2,029,495	Last balance in matching sequence After 2023-12-19 transaction · row 5 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2023-12-15 · Sale · Disposed 87,934 · Balance 2,447,181 F3: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4. F1: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 3 · 2023-12-18 · Sale · Disposed 209,029 · Balance 2,238,152 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F1: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2023-12-19 · Sale · Disposed 208,657 · Balance 2,029,495 F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F1: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Surplus Fund VIII, L.P.	280,294	Last balance in matching sequence After 2023-12-19 transaction · row 6 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 2 · 2023-12-15 · Sale · Disposed 12,066 · Balance 337,608 F3: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2023-12-18 · Sale · Disposed 28,682 · Balance 308,926 F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2023-12-19 · Sale · Disposed 28,632 · Balance 280,294 F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F2: The shares are held of record by Vivo Capital Surplus Fund VIII, L.P. Capital VIII, LLC is the General Partner of Vivo Capital Surplus Fund VIII, L.P. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F3: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.44 to $0.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (3) to this Form 4.

F4: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.30 to $0.06, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (4) to this Form 4.

F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $0.10 to $0.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

Terns Pharmaceuticals, Inc.

Report date April 01, 2024 · Filed April 04, 2024

Jointly reported with Vivo Opportunity, LLC, Vivo Opportunity Fund Holdings, L.P., Vivo Capital VIII, LLC, Vivo Capital Surplus Fund VIII, L.P.

Section 16 reporting ended · disclosed 2024-04-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Vivo Opportunity Fund Holdings, L.P.	4,023,741	Last balance in matching sequence After 2024-04-03 transaction · row 7 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2024-04-01 · Sale · Disposed 136,255 · Balance 4,203,957 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 4 · 2024-04-02 · Sale · Disposed 76,346 · Balance 4,127,611 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 7 · 2024-04-03 · Sale · Disposed 103,870 · Balance 4,023,741 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Fund VIII, L.P.	1,945,015	Last balance in matching sequence After 2024-04-03 transaction · row 8 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 2 · 2024-04-01 · Sale · Disposed 39,411 · Balance 1,997,146 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F2: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 5 · 2024-04-02 · Sale · Disposed 22,084 · Balance 1,975,062 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F2: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 8 · 2024-04-03 · Sale · Disposed 30,047 · Balance 1,945,015 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F2: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Common StockSEC Table I · non-derivative	IndirectBy: Vivo Capital Surplus Fund VIII, L.P.	268,573	Last balance in matching sequence After 2024-04-03 transaction · row 9 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 3 · 2024-04-01 · Sale · Disposed 5,451 · Balance 275,772 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4. F3: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 6 · 2024-04-02 · Sale · Disposed 3,050 · Balance 272,722 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4. F3: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Row 9 · 2024-04-03 · Sale · Disposed 4,149 · Balance 268,573 F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023. F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4. F3: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Filing footnotes · ownership attribution and instrument terms

F1: The shares are held of record by Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC is the General Partner of Vivo Opportunity Fund Holdings, L.P. Vivo Opportunity, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F2: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F3: The shares 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. Vivo Capital VIII, LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

F4: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 29, 2023.

F5: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.71 to $7.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (5) to this Form 4.

F6: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $6.50 to $6.97, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (6) to this Form 4.

F7: The price reported herein is a weighted average price. These shares were sold on the open market in multiple transactions at prices ranging from $5.97 to $6.58, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in footnote (7) to this Form 4.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
April 27, 2021 Filed Apr 29, 2021 21:10 UTC	IPI Legacy Liquidation Co IMPL · Entity 15659	ConversionCommon Stock	440,119	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,625,022 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F3 · ownership.nature: 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. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:10 UTC	IPI Legacy Liquidation Co IMPL · Entity 15659	ConversionCommon Stock	65,552	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 163,620 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F4 · ownership.nature: 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. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:10 UTC	IPI Legacy Liquidation Co IMPL · Entity 15659	ConversionCommon Stock	474,713	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,184,903 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F3 · ownership.nature: 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. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:10 UTC	IPI Legacy Liquidation Co IMPL · Entity 15659	ConversionCommon Stock	98,068	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 98,068 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F4 · ownership.nature: 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. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
April 27, 2021 Filed Apr 29, 2021 21:10 UTC	IPI Legacy Liquidation Co IMPL · Entity 15659	ConversionCommon Stock	710,190	Not disclosed	Not disclosed	Disclosure SEC source: 0001213900-21-023652 · ownership.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 710,190 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series C-1, C-2, C-3 and D Redeemable Convertible Preferred Stock is automatically converted into shares of Common Stock upon the closing of the Issuer's initial public offering for no additional consideration, on a one share of common stock for 16.37332 preferred shares basis. F3 · ownership.nature: 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. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
April 22, 2021 Filed Apr 26, 2021 18:24 UTC	IPI Legacy Liquidation Co IMPL · Entity 15659	Other5% Convertible Note due 2021 · Derivative	Not disclosed	$0.00	$165,013.49	Disclosure SEC source: 0001213900-21-022935 · ownership.xml · derivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 12,311 shares Expires 2021-12-31 F1 · derivative.exercise_price: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest will automatically convert into the number of shares of the Issuer's Common Stock set forth above upon the closing of the Issuer's initial public offering (the "IPO") at $13.50 per share (90% of the IPO price). The conversion price became fixed upon pricing of the issuer's IPO on April 22, 2021. F1 · derivative.exercise_date: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest will automatically convert into the number of shares of the Issuer's Common Stock set forth above upon the closing of the Issuer's initial public offering (the "IPO") at $13.50 per share (90% of the IPO price). The conversion price became fixed upon pricing of the issuer's IPO on April 22, 2021. F3 · ownership.nature: 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. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Surplus Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
April 22, 2021 Filed Apr 26, 2021 18:24 UTC	IPI Legacy Liquidation Co IMPL · Entity 15659	Other5% Convertible Note due 2021 · Derivative	Not disclosed	$0.00	$1,194,785.75	Disclosure SEC source: 0001213900-21-022935 · ownership.xml · derivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: Not disclosed Underlying: Common Stock · 89,145 shares Expires 2021-12-31 F1 · derivative.exercise_price: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest will automatically convert into the number of shares of the Issuer's Common Stock set forth above upon the closing of the Issuer's initial public offering (the "IPO") at $13.50 per share (90% of the IPO price). The conversion price became fixed upon pricing of the issuer's IPO on April 22, 2021. F1 · derivative.exercise_date: The convertible promissory note was issued by the issuer on March 5, 2021 and the outstanding principal and accrued interest will automatically convert into the number of shares of the Issuer's Common Stock set forth above upon the closing of the Issuer's initial public offering (the "IPO") at $13.50 per share (90% of the IPO price). The conversion price became fixed upon pricing of the issuer's IPO on April 22, 2021. F2 · ownership.nature: 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. As the managing members of Vivo Capital VIII, LLC, Frank Kung, Edgar Engleman and Shan Fu share voting and dispositive power over the shares held by Vivo Capital Fund VIII, L.P., but each disclaims beneficial ownership of such shares except to the extent of their individual pecuniary interest therein. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	OtherWarrant (Right to Buy) · Derivative	5,655	$0.00 Strike: $0.07	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 28 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 5,655 shares Expires 2028-07-26 F12 · derivative.exercise_date: The shares subject to this warrant were fully vested prior to exercise. F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionSeries C-2 Preferred Stock · Derivative	47,718	$0.00	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 27 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 47,718 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: 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. F7 · derivative.exercise_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. F7 · derivative.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. F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionSeries C-1 Preferred Stock · Derivative	43,901	$0.00	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 26 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 43,901 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionSeries B Preferred Stock · Derivative	150,802	$0.00	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 25 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 150,802 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	OtherWarrant (Right to Buy) · Derivative	40,953	$0.00 Strike: $0.07	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 24 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 40,953 shares Expires 2028-07-26 F12 · derivative.exercise_date: The shares subject to this warrant were fully vested prior to exercise. F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionSeries C-2 Preferred Stock · Derivative	345,568	$0.00	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 23 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 345,568 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · derivative.exercise_price: 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. F7 · derivative.exercise_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. F7 · derivative.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. F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionSeries C-1 Preferred Stock · Derivative	317,922	$0.00	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 22 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 317,922 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: 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. F6 · derivative.exercise_date: 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. F6 · derivative.expiration_date: 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. F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionSeries B Preferred Stock · Derivative	1,092,080	$0.00	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 21 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,092,080 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	OtherWarrant (Right to Buy) · Derivative	17,711	$0.00 Strike: $0.07	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 20 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 17,711 shares Expires 2028-07-26 F12 · derivative.exercise_date: The shares subject to this warrant were fully vested prior to exercise. F2 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionSeries B Preferred Stock · Derivative	472,296	$0.00	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 19 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 472,296 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: 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. F3 · derivative.exercise_date: 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. F3 · derivative.expiration_date: 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. F2 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionSeries A-1 Preferred Stock · Derivative	944,056	$0.00	$0.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · derivative · entry 18 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 0 Underlying: Common Stock · 944,056 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: 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. F1 · derivative.exercise_date: 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. F1 · derivative.expiration_date: 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. F2 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	PurchaseCommon Stock	150,000	$20.00	$3,000,000.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 17 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Opportunity Fund, L.P. Disclosed balance after: 150,000 F11 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	PurchaseCommon Stock	24,267	$20.00	$485,340.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 16 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 275,789 F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	20	$20.00	$400.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 15 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 251,522 F10 · kind: 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. F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	OtherCommon Stock	5,655	$0.07	$395.85	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 14 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 251,542 F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	47,718	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 13 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 245,887 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · price: 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. F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	43,901	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 12 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 198,169 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: 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. F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	150,802	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 11 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 154,268 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: 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. F9 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	PurchaseCommon Stock	175,733	$20.00	$3,514,660.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 10 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,997,216 F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	144	$20.00	$2,880.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,821,483 F8 · kind: 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. F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	OtherCommon Stock	40,953	$0.07	$2,866.71	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,821,627 F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	345,568	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,780,674 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F7 · price: 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. F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	317,922	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,435,106 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: 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. F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	1,092,080	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,117,184 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: 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. F5 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	SaleCommon Stock	62	$20.00	$1,240.00	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,448,286 F4 · kind: 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. F2 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	OtherCommon Stock	17,711	$0.07	$1,239.77	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,448,348 F2 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	472,296	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 1,430,637 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: 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. F2 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:37 UTC	Bolt Biotherapeutics, Inc. BOLT · Entity 8082	ConversionCommon Stock	944,056	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-008758 · doc4.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Panda Fund, L.P. · CIK 0001675490 · 10% owner Vivo Panda, LLC · CIK 0001843847 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Vivo PANDA Fund, L.P. Disclosed balance after: 958,341 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. F2 · ownership.nature: 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. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionSeries C Preferred Stock · Derivative	50,282	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 50,282 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionSeries C Preferred Stock · Derivative	364,138	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 8 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 364,138 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionSeries B Preferred Stock · Derivative	98,484	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 7 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 216,666 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionSeries B Preferred Stock · Derivative	713,203	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · derivative · entry 6 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,569,047 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	357,353	$17.00	$6,075,001.00	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 5 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Opportunity Fund, L.P. Disclosed balance after: 357,353 F4 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P. Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	14,275	$17.00	$242,675.00	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 4 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 281,223 F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	PurchaseCommon Stock	103,372	$17.00	$1,757,324.00	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 3 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 2,036,557 F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionCommon Stock	266,948	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 2 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 266,948 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
February 09, 2021 Filed Feb 9, 2021 20:08 UTC	Terns Pharmaceuticals, Inc. TERN · Entity 49595	ConversionCommon Stock	1,933,185	Not disclosed	Not disclosed	Disclosure SEC source: 0001567619-21-002591 · doc1.xml · nonDerivative · entry 1 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Vivo Opportunity, LLC · CIK 0001728970 · 10% owner Vivo Opportunity Fund, L.P. · CIK 0001726403 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 1,933,185 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series B Preferred Stock automatically converted on a 1-for-2.2 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F3 · price: Each share of Series C Preferred Stock automatically converted on a 1-for-1 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Dr. Hongbo Lu is a Managing Partner at Vivo Capital LLC and a member of the Issuer's board of directors. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
October 20, 2020 Filed Oct 20, 2020 20:59 UTC	Aligos Therapeutics, Inc. ALGS · Entity 7352	ConversionSeries B-2 Preferred Stock · Derivative	30,939	$0.00	$0.00	Disclosure SEC source: 0001567619-20-018010 · doc1.xml · derivative · entry 14 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 30,939 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
October 20, 2020 Filed Oct 20, 2020 20:59 UTC	Aligos Therapeutics, Inc. ALGS · Entity 7352	ConversionSeries B-2 Preferred Stock · Derivative	224,054	$0.00	$0.00	Disclosure SEC source: 0001567619-20-018010 · doc1.xml · derivative · entry 13 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 224,054 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
October 20, 2020 Filed Oct 20, 2020 20:59 UTC	Aligos Therapeutics, Inc. ALGS · Entity 7352	ConversionSeries B-1 Preferred Stock · Derivative	72,320	$0.00	$0.00	Disclosure SEC source: 0001567619-20-018010 · doc1.xml · derivative · entry 12 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 72,320 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
October 20, 2020 Filed Oct 20, 2020 20:59 UTC	Aligos Therapeutics, Inc. ALGS · Entity 7352	ConversionSeries B-1 Preferred Stock · Derivative	523,726	$0.00	$0.00	Disclosure SEC source: 0001567619-20-018010 · doc1.xml · derivative · entry 11 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 523,726 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
October 20, 2020 Filed Oct 20, 2020 20:59 UTC	Aligos Therapeutics, Inc. ALGS · Entity 7352	ConversionSeries A Preferred Stock · Derivative	260,380	$0.00	$0.00	Disclosure SEC source: 0001567619-20-018010 · doc1.xml · derivative · entry 10 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Surplus Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 260,380 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document
October 20, 2020 Filed Oct 20, 2020 20:59 UTC	Aligos Therapeutics, Inc. ALGS · Entity 7352	ConversionSeries A Preferred Stock · Derivative	1,885,611	$0.00	$0.00	Disclosure SEC source: 0001567619-20-018010 · doc1.xml · derivative · entry 9 Vivo Capital VIII, LLC · CIK 0001618789 · 10% owner Vivo Capital Fund VIII, L.P. · CIK 0001618788 · 10% owner Vivo Capital Surplus Fund VIII, L.P. · CIK 0001628048 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Vivo Capital Fund VIII, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,885,611 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date. F2 · ownership.nature: Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.