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