Roche Holding Ltd - Oct 25, 2023 Form 3 Insider Report for Aligos Therapeutics, Inc. (ALGS)

Role: 10%+ Owner
Signature: ROCHE FINANCE LTD, By: /s/ Peter Trybus, Authorized Signatory
Stock symbol: ALGS
Transactions as of: Oct 25, 2023
Transactions value $: $0
Form type: 3
Date filed: 11/7/2023, 05:14 PM
Previous filing: Jan 26, 2023

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						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
holding	ALGS	Warrant (Right to Buy)							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	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.

Content

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.