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

Role: Director, 10%+ Owner
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.

Content

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.