0001209191-20-055572.txt : 20201022 0001209191-20-055572.hdr.sgml : 20201022 20201022163124 ACCESSION NUMBER: 0001209191-20-055572 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201020 FILED AS OF DATE: 20201022 DATE AS OF CHANGE: 20201022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Novo Holdings A/S CENTRAL INDEX KEY: 0001388325 STATE OF INCORPORATION: G7 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39617 FILM NUMBER: 201255212 BUSINESS ADDRESS: STREET 1: TUBORG HAVNEVEJ 19 CITY: HELLERUP STATE: G7 ZIP: 2900 BUSINESS PHONE: 45 8824 8824 MAIL ADDRESS: STREET 1: TUBORG HAVNEVEJ 19 CITY: HELLERUP STATE: G7 ZIP: 2900 FORMER NAME: FORMER CONFORMED NAME: Novo A/S DATE OF NAME CHANGE: 20070130 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aligos Therapeutics, Inc. CENTRAL INDEX KEY: 0001799448 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE CORPORATE DR., 2ND FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: (800) 466-6059 MAIL ADDRESS: STREET 1: ONE CORPORATE DR., 2ND FLOOR CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-10-20 1 0001799448 Aligos Therapeutics, Inc. ALGS 0001388325 Novo Holdings A/S TUBORG HAVNEVEJ 19 HELLERUP G7 2900 DENMARK 0 0 1 0 COMMON STOCK 2020-10-20 4 C 0 2414563 A 2414563 D COMMON STOCK 2020-10-20 4 P 0 200000 15.00 A 2614563 D SERIES A CONVERTIBLE PREFERRED STOCK 2020-10-20 4 C 0 1609493 D COMMON STOCK 1609493 0 D SERIES B -1 CONVERTIBLE PREFERRED STOCK 2020-10-20 4 C 0 563851 D COMMON STOCK 563851 0 D SERIES B -2 CONVERTIBLE PREFERRED STOCK 2020-10-20 4 C 0 241219 D COMMON STOCK 241219 0 D Each share of Series A Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series B-2 Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering. These shares have no expiration date. Represents a purchase from the underwriters in the Issuer's initial public offering. Novo Holdings A/S is a Danish limited liability company. The board of directors of Novo Holdings A/S (the "Novo Board") has shared investment and voting control over the securities of the Issuer held by Novo Holdings A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares. /s/ Peter Haahr, Chief Financial Officer of Novo Holdings A/S 2020-10-22