ROCHE HOLDING LTD - 25 Oct 2023 Form 3 Insider Report for Aligos Therapeutics, Inc. (ALGS)

Role
10%+ Owner
Signature
ROCHE FINANCE LTD, By: /s/ Peter Trybus, Authorized Signatory
Issuer symbol
ALGS
Transactions as of
25 Oct 2023
Net transactions value
$0
Form type
3
Filing time
07 Nov 2023, 17:14:35 UTC
Previous filing
26 Jan 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ALGS Common Stock, par value $0.0001 per share 11,025,941 25 Oct 2023 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ALGS Warrant (Right to Buy) 25 Oct 2023 Common Stock 3,966,800 $0.7568 See Footnote F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.