0001104659-23-115329.txt : 20231107 0001104659-23-115329.hdr.sgml : 20231107 20231107171435 ACCESSION NUMBER: 0001104659-23-115329 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231025 FILED AS OF DATE: 20231107 DATE AS OF CHANGE: 20231107 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROCHE HOLDING LTD CENTRAL INDEX KEY: 0000889131 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 8880 [8880] STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39617 FILM NUMBER: 231385079 BUSINESS ADDRESS: STREET 1: ROCHE HOLDING, LTD. STREET 2: GRENZACHERSTRASSE 124 CITY: BASEL STATE: V8 ZIP: CH-4070 BUSINESS PHONE: 9732354295 MAIL ADDRESS: STREET 1: ROCHE HOLDING, LTD. STREET 2: GRENZACHERSTRASSE 124 CITY: BASEL STATE: V8 ZIP: CH-4070 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROCHE FINANCE LTD CENTRAL INDEX KEY: 0001053942 STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39617 FILM NUMBER: 231385078 BUSINESS ADDRESS: STREET 1: C/O HOFFMAN LA ROCHE STREET 2: 124 GRENSACHERSTRASSE CH 4002 CITY: BASEL SWITZERLAND STATE: V8 MAIL ADDRESS: STREET 1: C/O HOFFMAN LA ROCHE STREET 2: 124 GRENSACHERSTRASSE CH 4002 CITY: BASEL SWITZERLAND STATE: V8 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 3 1 tm2329765-1_3seq1.xml OWNERSHIP DOCUMENT X0206 3 2023-10-25 0 0001799448 Aligos Therapeutics, Inc. ALGS 0000889131 ROCHE HOLDING LTD GRENZACHERSTRASSE 124, 4070 BASEL V8 CH-4070 SWITZERLAND 0 0 1 0 0001053942 ROCHE FINANCE LTD GRENZACHERSTRASSE 124, 4070 BASEL V8 CH-4070 SWITZERLAND 0 0 1 0 Common Stock, par value $0.0001 per share 11025941 I See Footnote Warrant (Right to Buy) 0.7568 2023-10-25 2030-10-25 Common Stock 3966800 I See Footnote Represents shares held by Roche Finance Ltd. ("Roche Finance"). Roche Finance is a wholly owned subsidiary of Roche Holding Ltd. ("Roche Holding"), a Swiss corporation whose shares are traded on the SIX Swiss Exchange. Roche Holding is the indirect beneficial owner of these securities of the Issuer. This Form 3 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 3. ROCHE FINANCE LTD, By: /s/ Peter Trybus, Authorized Signatory 2023-11-07 ROCHE FINANCE LTD, By: /s/ Carole Nuechterlein, Authorized Signatory 2023-11-07 ROCHE HOLDING LTD, By: /s/ Peter Trybus, Authorized Signatory 2023-11-07 ROCHE HOLDING LTD, By: /s/ Claudia Boeckstiegel, Authorized Signatory 2023-11-07