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