Key facts
- This page summarizes ROCHE HOLDING LTD's Form 3 filing for Aligos Therapeutics, Inc. (ALGS).
- 0 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 07 Nov 2023, 17:14.
ROCHE HOLDING LTD - 25 Oct 2023 Form 3 Insider Report for Aligos Therapeutics, Inc. (ALGS)
- Reporting relationship
- 10%+ Owner
- Issuer ticker
- ALGS
- Reported as of
- 25 Oct 2023
- Net transaction value
- $0
- SEC form
- 3
- Accepted by SEC
- 07 Nov 2023, 17:14:35 UTC
- Prior SEC filing
- 26 Jan 2023
- Source filing
- View source filing
- Reporting owner signature
- ROCHE FINANCE LTD, By: /s/ Peter Trybus, Authorized Signatory
Source evidence
Original filing metadata and source links for verification.
4 source fields
Reporting owner
1 detail
Key filing fact
ROCHE HOLDING LTD filed Form 3 for Aligos Therapeutics, Inc. (ALGS) on 07 Nov 2023.
Change
- Previous filing in this sequence was filed on 26 Jan 2023.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Official SEC source
View source filing
Ownership activity is grounded in SEC Form 3 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
ALGS
holding
Common Stock, par value $0.0001 per share
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 11,025,941
- Date
- 25 Oct 2023
- Ownership
- See Footnote
- Footnotes
- F1
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
ALGS
holding
Derivative
Warrant (Right to Buy)
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- Date
- 25 Oct 2023
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 3,966,800
- Exercise price
- $0.7568
- Footnotes
- F1
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 1 footnote
Footnote 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.