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