SEC Filing | Aligos Therapeutics

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

BLATT LAWRENCE

(Last)

(First)

(Middle)

C/O ALIGOS THERAPEUTICS, INC.

1 CORPORATE DRIVE, 2ND FLOOR

(Street)

SOUTH SAN FRANCISCO

94080

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Aligos Therapeutics, Inc. [ ALGS ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Executive Officer

3. Date of Earliest Transaction (Month/Day/Year)
10/20/2020

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock								1,237,298	D
Common Stock	10/20/2020		C		41,016	A	⁽¹⁾	41,016	I	See footnote⁽²⁾
Common Stock	10/20/2020		C		122,601	A	⁽¹⁾	122,601	I	See footnote⁽³⁾
Common Stock	10/20/2020		C		13,671	A	⁽¹⁾	13,671	I	See footnote⁽⁴⁾
Common Stock	10/20/2020		C		13,671	A	⁽¹⁾	13,671	I	See footnote⁽⁵⁾
Common Stock	10/20/2020		C		50,712	A	⁽¹⁾	91,728	I	See footnote⁽²⁾
Common Stock	10/20/2020		C		3,394	A	⁽¹⁾	17,065	I	See footnote⁽⁴⁾
Common Stock	10/20/2020		C		3,394	A	⁽¹⁾	17,065	I	See footnote⁽⁵⁾
Common Stock	10/20/2020		C		21,695	A	⁽¹⁾	113,423	I	See footnote⁽²⁾
Common Stock	10/20/2020		C		1,452	A	⁽¹⁾	18,517	I	See footnote⁽⁴⁾
Common Stock	10/20/2020		C		1,452	A	⁽¹⁾	18,517	I	See footnote⁽⁵⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction 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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series A Preferred Stock	⁽¹⁾	10/20/2020		C			41,016	⁽¹⁾	⁽¹⁾	Common Stock	41,016	$0.00	0	I	See footnote⁽²⁾
Series A Preferred Stock	⁽¹⁾	10/20/2020		C			122,601	⁽¹⁾	⁽¹⁾	Common Stock	122,601	$0.00	0	I	See footnote⁽³⁾
Series A Preferred Stock	⁽¹⁾	10/20/2020		C			13,671	⁽¹⁾	⁽¹⁾	Common Stock	13,671	$0.00	0	I	See footnote⁽⁴⁾
Series A Preferred Stock	⁽¹⁾	10/20/2020		C			13,671	⁽¹⁾	⁽¹⁾	Common Stock	13,671	$0.00	0	I	See footnote⁽⁵⁾
Series B-1 Preferred Stock	⁽¹⁾	10/20/2020		C			50,712	⁽¹⁾	⁽¹⁾	Common Stock	50,712	$0.00	0	I	See footnote⁽²⁾
Series B-1 Preferred Stock	⁽¹⁾	10/20/2020		C			3,394	⁽¹⁾	⁽¹⁾	Common Stock	3,394	$0.00	0	I	See footnote⁽⁴⁾
Series B-1 Preferred Stock	⁽¹⁾	10/20/2020		C			3,394	⁽¹⁾	⁽¹⁾	Common Stock	3,394	$0.00	0	I	See footnote⁽⁵⁾
Series B-2 Preferred Stock	⁽¹⁾	10/20/2020		C			21,695	⁽¹⁾	⁽¹⁾	Common Stock	21,695	$0.00	0	I	See footnote⁽²⁾
Series B-2 Preferred Stock	⁽¹⁾	10/20/2020		C			1,452	⁽¹⁾	⁽¹⁾	Common Stock	1,452	$0.00	0	I	See footnote⁽⁴⁾
Series B-2 Preferred Stock	⁽¹⁾	10/20/2020		C			1,452	⁽¹⁾	⁽¹⁾	Common Stock	1,452	$0.00	0	I	See footnote⁽⁵⁾

Explanation of Responses:

1. Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date.

2. Lawrence M. Blatt Living Trust dated 8/27/14.

3. PENSCO Trust Company LLC Custodian FBO Dr. Lawrence Blatt IRA

4. Zachary David Blatt Irrevocable Trust dated 8/24/14.

5. Zoe Anne Blatt Irrevocable Trust dated 8/24/14.

	/s/ Lucinda Y. Quan, as attorney-in fact for Lawrence M. Blatt	10/20/2020
	** Signature of Reporting Person	Date
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