0001567619-20-017872.txt : 20201015 0001567619-20-017872.hdr.sgml : 20201015 20201015171709 ACCESSION NUMBER: 0001567619-20-017872 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201015 FILED AS OF DATE: 20201015 DATE AS OF CHANGE: 20201015 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital VIII, LLC CENTRAL INDEX KEY: 0001618789 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39617 FILM NUMBER: 201242122 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650 688 0822 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital Fund VIII, L.P. CENTRAL INDEX KEY: 0001618788 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39617 FILM NUMBER: 201242123 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650 688 0818 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital Surplus Fund VIII, L.P. CENTRAL INDEX KEY: 0001628048 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39617 FILM NUMBER: 201242124 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 650 688 0818 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 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 doc1.xml FORM 3 X0206 3 2020-10-15 0 0001799448 Aligos Therapeutics, Inc. ALGS 0001618789 Vivo Capital VIII, LLC C/O VIVO CAPITAL LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001618788 Vivo Capital Fund VIII, L.P. C/O VIVO CAPITAL LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 0001628048 Vivo Capital Surplus Fund VIII, L.P. C/O VIVO CAPITAL LLC 192 LYTTON AVENUE PALO ALTO CA 94301 0 0 1 0 Series A Preferred Stock Common Stock 1885611 I Vivo Capital Fund VIII, L.P. Series A Preferred Stock Common Stock 260380 I Vivo Capital Surplus Fund VIII, L.P. Series B-1 Preferred Stock Common Stock 523726 I Vivo Capital Fund VIII, L.P. Series B-1 Preferred Stock Common Stock 72320 I Vivo Capital Surplus Fund VIII, L.P. Series B-2 Preferred Stock Common Stock 224054 I Vivo Capital Fund VIII, L.P. Series B-2 Preferred Stock Common Stock 30939 I Vivo Capital Surplus Fund VIII, L.P. At any time at the holder's election or automatically upon the closing of the Issuer's initial public offering, shares of the Issuer's preferred stock will convert into shares of the Issuer's common stock on a one for one basis without payment or consideration. The preferred stock has no expiration date. Reflects a 1-for-9.3197 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement. Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. /s/ Frank Kung, as a managing member of Vivo Capital VIII, LLC /s/ Frank Kung, as a managing member of Vivo Capital VIII, LLC, the general partner of Vivo Capital Fund VIII, L.P. /s/ Frank Kung, as a managing member of Vivo Capital VIII, LLC, the general partner of Vivo Capital Surplus Fund VIII, L.P. See Remarks 2020-10-15