0001567619-20-018003.txt : 20201020
0001567619-20-018003.hdr.sgml : 20201020
20201020165554
ACCESSION NUMBER: 0001567619-20-018003
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201020
FILED AS OF DATE: 20201020
DATE AS OF CHANGE: 20201020
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Nuechterlein Carole
CENTRAL INDEX KEY: 0001665133
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39617
FILM NUMBER: 201248777
MAIL ADDRESS:
STREET 1: C/O AVEXIS, INC., 2275 HALF DAY ROAD
STREET 2: SUITE 160
CITY: BANNOCKBURN
STATE: IL
ZIP: 60015
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
doc1.xml
FORM 4
X0306
4
2020-10-20
0
0001799448
Aligos Therapeutics, Inc.
ALGS
0001665133
Nuechterlein Carole
C/O ALIGOS THERAPEUTICS, INC.
1 CORPORATE DRIVE, 2ND FLOOR
SOUTH SAN FRANCISCO
CA
94080
1
0
0
0
Common Stock
2020-10-20
4
C
0
2145991
A
2145991
I
See footnote
Common Stock
2020-10-20
4
C
0
662799
A
2808790
I
See footnote
Common Stock
2020-10-20
4
C
0
283550
A
3092340
I
See footnote
Series A Preferred Stock
2020-10-20
4
C
0
2145991
0.00
D
Common Stock
2145991
0
I
See footnote
Series B-1 Preferred Stock
2020-10-20
4
C
0
662799
0.00
D
Common Stock
662799
0
I
See footnote
Series B-2 Preferred Stock
2020-10-20
4
C
0
283550
0.00
D
Common Stock
283550
0
I
See footnote
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.
Roche Finance Ltd is the direct beneficial owner of these securities of the Issuer. Roche Finance Ltd is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. The Reporting Person disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein, if any. The Reporting Person also disclaims beneficial ownership of any securities of the Issuer that may be or are beneficially owned by any other person or persons other than such Reporting Person. This Form 4 shall not be deemed an admission that any Reporting Person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4.
/s/ Lucinda Y. Quan, as attorney-in fact for Carole Nuechterlein
2020-10-20