Statement of Changes in Beneficial Ownership (4)
April 28 2021 - 5:01PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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Woiwode Thomas |
2. Issuer Name and Ticker or Trading Symbol
Aligos Therapeutics, Inc.
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ALGS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ALIGOS THERAPEUTICS, INC., ONE CORPORATE DRIVE, 2ND FLOOR |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/26/2021 |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/26/2021 | | J(1) | | 485979 | D | $0.00 | 1943916 | I | See Footnote (2) |
Common Stock | 4/26/2021 | | J(3) | | 9720 | A | $0.00 | 9720 | I | See Footnote (4) |
Common Stock | 4/26/2021 | | J(5) | | 9720 | D | $0.00 | 0 | I | See Footnote (4) |
Common Stock | 4/26/2021 | | J(6) | | 8385 | A | $0.00 | 8385 | I | See Footnote (7) |
Common Stock | 4/26/2021 | | J(8) | | 8385 | D | $0.00 | 0 | I | See Footnote (7) |
Common Stock | 4/26/2021 | | J(9) | | 2226 | A | $0.00 | 2226 | D | |
Common Stock | | | | | | | | 862444 | I | See Footnote (10) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by Versant Venture Capital VI, L.P. ("VVC VI") to its partners pursuant to a Rule 10b5-1 trading plan. |
(2) | Shares held by VVC VI. Versant Ventures VI GP, L.P. ("VV VI GP") is the general partner of VVC VI, and Versant Ventures VI GP-GP, LLC ("VV VI GP-GP") is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VVC VI; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. |
(3) | Represents a change in the form of ownership of VV VI GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VVC VI. |
(4) | Shares held by VV VI GP. VV VI GP-GP is the general partner of VV VI GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held by VV VI GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein. |
(5) | Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV VI GP, to its partners. |
(6) | Represents a change in the form of ownership of VV VI GP-GP by virtue of the receipt of shares in the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV VI GP. |
(7) | Shares held by VV VI GP-GP. The Reporting Person is a managing member of VV VI GP-GP and may be deemed to share voting and dispositive power over the shares held VV VI GP-GP; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. |
(8) | Represents a pro-rata distribution, and not a purchase or sale, without additional consideration by VV VI GP-GP, to its members. |
(9) | Represents a change in the form of ownership of the Reporting Person by virtue of the receipt of shares as a result of the pro-rata in-kind distribution of common stock of the Issuer for no consideration by VV VI GP-GP. |
(10) | Shares held by Versant Vantage I, L.P. ("VV I"). Versant Vantage I GP, L.P. ("VV I GP") is the general partner of VV I, and Versant Vantage I GP-GP, LLC ("VV I GP-GP") is the general partner of VV I GP. The Reporting Person is a managing member of VV I GP-GP and may be deemed to share voting and dispositive power over the shares held by VV I; however, he disclaims beneficial ownership of such securities, except to the extent of his pecuniary interests therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Woiwode Thomas C/O ALIGOS THERAPEUTICS, INC. ONE CORPORATE DRIVE, 2ND FLOOR SOUTH SAN FRANCISCO, CA 94080 | X |
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Signatures
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/s/ Robin L. Praeger, Attorney-in-fact for Thomas Woiwode | | 4/28/2021 |
**Signature of Reporting Person | Date |
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