Carole Nuechterlein - Oct 25, 2023 Form 4 Insider Report for Aligos Therapeutics, Inc. (ALGS)

Signature
/s/ Lucinda Y. Quan, as attorney-in fact for Carole Nuechterlein
Stock symbol
ALGS
Transactions as of
Oct 25, 2023
Transactions value $
$6,499,999
Form type
4
Date filed
10/27/2023, 04:15 PM
Previous filing
Jul 21, 2023
Next filing
Feb 28, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALGS Common Stock Purchase $6M +7.93M +256.56% $0.76 11M Oct 25, 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
transaction ALGS Warrant (Right to Buy) Purchase $496K +3.97M $0.13* 3.97M Oct 25, 2023 Common Stock 3.97M $0.76 See footnote F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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.