0001610717-23-000320.txt : 20231027 0001610717-23-000320.hdr.sgml : 20231027 20231027161541 ACCESSION NUMBER: 0001610717-23-000320 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231025 FILED AS OF DATE: 20231027 DATE AS OF CHANGE: 20231027 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: 231355712 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 form4.xml X0508 4 2023-10-25 0001799448 Aligos Therapeutics, Inc. ALGS 0001665133 Nuechterlein Carole C/O ALIGOS THERAPEUTICS, INC. 1 CORPORATE DRIVE, 2ND FLOOR SOUTH SAN FRANCISCO CA 94080 true true false Common Stock 2023-10-25 4 P 0 7933601 0.7568 A 11025941 I See footnote Warrant (Right to Buy) 0.7568 2023-10-25 4 P 0 3966800 0.125 A 2023-10-25 2030-10-25 Common Stock 3966800 3966800 I See footnote 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 2023-10-27