Securities and Exchange Commission
Washington, D.C. 20549
Information to be Included in Statements Filed Pursuant
to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed
Pursuant to § 240.13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
Aligos Therapeutics, Inc.
(Name of Issuer)
Common Stock, par value $0.0001
(Title of Class of Securities)
December 31, 2020
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ Rule 13d-1(d)
The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
|CUSIP No. 01626L105||Schedule 13G||Page 1 of 4|
Names of Reporting Persons
Check the Appropriate Box if a Member of a Group
(a) ☐ (b) ☐
SEC Use Only
Citizenship or Place of Organization
Sole Voting Power
Shared Voting Power
Sole Dispositive Power
Shared Dispositive Power
Aggregate Amount Beneficially Owned by Each Reporting Person
Check if the Aggregate Amount in Row (9) Excludes Certain Shares
Percent of Class Represented by Amount in Row 9
Type of Reporting Person
|CUSIP No. 01626L105||Schedule 13G||Page 2 of 4|
|ITEM 1.|| |
(a) Name of Issuer:
Aligos Therapeutics, Inc. (the Issuer).
Address of Issuers Principal Executive Offices:
One Corporate Drive, 2nd Floor
South San Francisco, CA 94080
|ITEM 2.|| |
(a) Name of Person Filing:
This statement is filed on behalf of Leonid Beigelman (the Reporting Person).
Address or Principal Business Office:
The business address of the Reporting Person is c/o Aligos Therapeutics, Inc., One Corporate Drive, 2nd Floor, South San Francisco, CA 94080.
Citizenship of each Reporting Person is:
The Reporting Person is a citizen of the United States.
Title of Class of Securities:
Common stock, par value $0.0001 per share (Common Stock).
|ITEM 3.|| |
|ITEM 4.|| |
The ownership information below represents beneficial ownership of voting Common Stock of the Issuer as of December 31, 2020, based upon 35,025,572 shares of voting Common Stock outstanding as of November 25, 2020, based on the quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 25, 2020.
|CUSIP No. 01626L105||Schedule 13G||Page 3 of 4|
Amount beneficially owned:
Consists of (i) 1,026,991 shares of Common Stock held of record by the Reporting Person; (ii) 69,744 shares of Common Stock held by the Beigelman 2020 Grantor Retained Annuity Trust dated June 25, 2020; (iii) 69,744 shares of Common Stock held by the Lozovsky 2020 Grantor Retained Annuity Trust dated June 25, 2020; (iv) 35,408 shares of Common Stock held by the Dina Beigelman Irrevocable Trust, dated July 2, 2020; (v) 35,408 shares of Common Stock held by the Victor Beigelman 2020 Irrevocable Trust, dated July 2, 2020; (vi) 236,347 shares of Common Stock held by the Beigelman and Lozovsky Living Trust; (vii) 18,355 shares of Common Stock held by the Dina Beigelman Irrevocable Trust; (viii) 18,355 shares of Common Stock held by the Victor Beigelman Irrevocable Trust; and (ix) 286,998 shares of Common Stock issuable upon the exercise of stock options held by the Reporting Person that are exercisable or will become exercisable within 60 days of December 31, 2020.
Percent of class: 5.1%
Number of shares as to which the person has:
Sole power to vote or to direct the vote: 1,797,350
Shared power to vote or direct the vote: 0
Sole power to dispose or to direct the disposition of: 1,797,350
Shared power to dispose or to direct the disposition of: 0
|ITEM 5.|| |
Ownership of Five Percent or Less of a Class.
|ITEM 6.|| |
Ownership of More than Five Percent on Behalf of Another Person.
|ITEM 7.|| |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
|ITEM 8.|| |
Identification and Classification of Members of the Group.
|ITEM 9.|| |
Notice of Dissolution of Group.
|ITEM 10.|| |
|CUSIP No. 01626L105||Schedule 13G||Page 4 of 4|
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
February 11, 2021