UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
Aligos Therapeutics, Inc.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
01626L 105
(CUSIP Number)
Peter Haahr
Novo Holdings A/S
Tuborg Havnevej 19
Hellerup, Denmark DK-2900
+45 3527 6592
Copy to:
B. Shayne Kennedy, Esq.
Latham & Watkins LLP
650 Town Center Drive, 20th Floor
Costa Mesa, CA 92626
Telephone: (714) 540-1235
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
June 17, 2021
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is subject of this Schedule 13D, and is filing this statement because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ☐
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.
| * | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on 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 (the “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.: 01626L 105
| 1. |
Name of Reporting Person:
Novo Holdings A/S | |||||
| 2. | Check the Appropriate Box if a Member of Group (See Instructions): (a) ☐ (b) ☐
| |||||
| 3. | SEC Use Only:
| |||||
| 4. | Source of Funds:
WC | |||||
| 5. | Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e):
☐ | |||||
| 6. | Citizenship or Place of Organization:
Denmark | |||||
| Number of Shares Beneficially Owned By Each Reporting Person With:
|
7. | Sole Voting Power:
2,614,563 | ||||
| 8. | Shared Voting Power:
0 | |||||
| 9. | Sole Dispositive Power:
2,614,563 | |||||
| 10. | Shared Dispositive Power:
0 | |||||
| 11. |
Aggregate Amount Beneficially Owned by Each Reporting Person:
2,614,563 | |||||
| 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares:
☐ | |||||
| 13. | Percent of Class Represented By Amount In Row (11):
7.5% (1) | |||||
| 14. | Type of Reporting Person:
CO | |||||
| (1) | Based upon 35,061,352 shares of the Issuer’s Common Stock outstanding as of May 7, 2021, as reported in the Issuer’s 10-Q filed with the Securities and Exchange Commission (“SEC”) on May 10, 2021. |
2
This amendment (“Amendment No. 1”), amends the Schedule 13D originally filed with the SEC on October 22, 2020, (the “Schedule”), to report and reflect that Peter Moldt, a board member of the Issuer, did not stand for reelection at the Issuer’s 2021 annual stockholders meeting (the “Annual Meeting”) and ceased services as a director immediately following completion of the Annual Meeting on June 17, 2021. All capitalized terms contained herein but not otherwise defined shall have the meanings ascribed to such terms in the Schedule. All capitalized terms contained herein but not otherwise defined shall have the meaning ascribed to such terms in the Schedule.
| Item 2. | Identity and Background |
Item 2 is amended and replaced in its entirety as follows:
| (a) | Novo Holdings A/S is a Danish corporation that is wholly owned by Novo Nordisk Foundation (the “Foundation”), a Danish commercial foundation. Novo Holdings A/S is the holding company in the group of Novo companies (currently comprised of Novo Nordisk A/S and Novozymes A/S) and is responsible for managing the Foundation’s assets, including its financial assets. Based on the governance structure of Novo Holdings A/S and the Foundation, the Foundation is not deemed to have any beneficial ownership of the securities of the Issuer held by Novo Holdings A/S. |
The name of each director and executive officer of both Novo Holdings A/S and the Foundation is set forth on Schedule I to this Schedule 13D.
| (b) | The business address of both Novo Holdings A/S and the Foundation is Tuborg Havnevej 19, 2900 Hellerup, Denmark. |
The residence or business address of each director and executive officer of both Novo Holdings A/S and the Foundation is set forth on Schedule I to this Schedule 13D.
| (c) | Novo Holdings A/S, a holding company that is responsible for managing the Foundation’s assets, provides seed and venture capital to development stage companies and invests in well-established companies within the life science and biotechnology sector. |
The Foundation is a Danish self-governing and profit-making foundation, whose objectives are to provide a stable basis for commercial and research activities undertaken by the group of Novo companies and to support scientific, humanitarian and social purposes through grants.
| (d) | Within the last five years, neither Novo Holdings A/S, the Foundation, nor any person named in Schedule I has been convicted in any criminal proceedings. |
| (e) | Within the last five years, neither Novo Holdings A/S, the Foundation, nor any person named in Schedule I was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. |
| Item 4. | Purpose of Transaction |
Item 4 is amended and replaced in its entirety as follows:
The acquisitions of Issuer securities made by Novo Holdings A/S, as described in this Schedule 13D, were for investment purposes. Novo Holdings A/S intends to review its investments in the Issuer on a continuing basis and any actions Novo Holdings A/S might undertake will be dependent upon its review of numerous factors from time to time, including, but not limited to: an ongoing evaluation of the Issuer’s business, financial condition, operations and prospects; price levels of the Issuer’s securities; general market, industry and economic conditions; the relative attractiveness of alternative business and investment opportunities; and other future developments. Novo Holdings A/S may, at any time and from time to time, acquire additional securities of the Issuer, or retain or sell all or a
3
portion of the securities of the Issuer then held, in the open market or in privately negotiated transactions. Other than as described herein, Novo Holdings A/S currently does not have any plans or proposals that relate to, or would result in, any of the matters listed in Items 4(a)–(j) of Schedule 13D, although, depending on the factors discussed herein, Novo Holdings A/S may review or reconsider or change its purpose or formulate different plans, strategies, or proposals with respect thereto at any time.
| Item 5. | Interest in Securities of the Issuer |
Item 5 is amended and replaced in its entirety as follows:
| (a) | Novo Holdings A/S beneficially owns 2,614,563 shares of Common Stock (the “Novo Shares”) representing approximately 7.5% of the Issuer’s outstanding shares of Common Stock, based upon 35,061,352 shares of the Issuer’s Common Stock outstanding as of May 7, 2021, as reported in the Issuer’s 10-Q filed with the Securities and Exchange Commission (“SEC”) on May 10, 2021. |
| (b) | Novo Holdings A/S is a Danish corporation wholly owned by the Novo Nordisk Foundation. Novo Holdings A/S has the sole power to vote and dispose the Novo Shares, and neither the Foundation, nor any individual, including any person listed on Schedule I, is deemed to hold any beneficial ownership in the Novo Shares. |
| (c) | Except as described herein, Novo Holdings A/S has not effected any transactions in the Issuer’s Common Stock within the past 60 days and neither the Foundation nor any person listed on Schedule I has effected any transactions in the Issuer’s Common Stock within the past 60 days. |
| (d) | Novo Holdings A/S does not know of any other person having the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Novo Shares. |
| (e) | Not applicable. |
4
SIGNATURE
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.
| Dated: June 21, 2021 | Novo Holdings A/S | |||||
| /s/ Peter Haahr | ||||||
| By: | Peter Haahr | |||||
| Its: | Chief Financial Officer | |||||
Signature Page to Schedule 13D/A
Reporting Person: Novo Holdings A/S Issuer: Aligos Therapeutics, Inc.
Schedule I
Information regarding each director and executive officer of both Novo Holdings A/S and the Novo Nordisk Foundation is set forth below.
| Novo Holdings A/S | ||||||
| Name, Title |
Address |
Principal Occupation |
Citizenship | |||
| Lars Rebien Sørensen, Chairman of the Board |
Christianholms Tværvej 27, 2930 Klampenborg Denmark |
Professional Board Director | Denmark | |||
| Steen Riisgaard, Vice Chairman of the Board |
Hestetangsvej 155, 3520 Farum, Denmark |
Professional Board Director | Denmark | |||
| Jean-Luc Butel, Director |
235 Arcadia Road unit # 10-3 289843 Singapore |
Global Healthcare Advisor, President, K8 Global Pte Ltd. | Singapore | |||
| Jeppe Christiansen, Director |
c/o Kasper Fonager Christiansen Classensgade 59, 5. th. 2100 Kobenhavn Ø Denmark |
Chief Executive Officer, Fondsmaeglerselskabet Maj Invest A/S |
Denmark | |||
| Francis Michael Cyprian Cuss, Director |
111 Rippling Brook Way, Bernardsville, NJ 07924 USA |
Former Executive Vice President and Chief Scientific Officer of Bristol-Myers Squibb | United Kingdom | |||
| Viviane Monges, Director |
Chemin de Craivavers 32, 1012 Lausanne, Switzerland | Professional Board Director | France | |||
| Henrik Poulsen, Director |
Emiliekildevej 36 2930 Klampenborg Denmark |
Professional Board Director and Senior Advisor, A.P. Møller Holding A/S, | Denmark | |||
| Poul Carsten Stendevad, Director |
3220 Idaho Ave NW Washington, DC 20016 USA |
Co-Chief Investment Officer for Sustainability, Bridgewater Associates | Denmark | |||
| Kasim Kutay, Chief Executive Officer of Novo Holdings A/S |
Bredgade 65, 3.tv. 1260 Copenhagen K. Denmark |
Chief Executive Officer of Novo Holdings A/S | United Kingdom | |||
| Peter Haahr, Chief Financial Officer of Novo Holdings A/S |
Ordrup Have 21 2920 Charlottenlund Denmark |
Chief Financial Officer of Novo Holdings A/S | Denmark | |||
| Novo Nordisk Foundation | ||||||
| Name, Title |
Address |
Principal Occupation |
Citizenship | |||
| Lars Rebien Sørensen, Chairman of the Board |
Christianholms Tværvej 27 2930 Klampenborg Denmark |
Professional Board Director | Denmark | |||
| Novo Nordisk Foundation | ||||||
| Name, Title |
Address |
Principal Occupation |
Citizenship | |||
| Marianne Philip, Vice Chairman of the Board |
Annasvej 28 2900 Hellerup Denmark |
Attorney | Denmark | |||
| Steen Riisgaard, Director |
Hestetangsvej 155 3520 Farum Denmark |
Professional Board Director | Denmark | |||
| Mads Krogsgaard Thomsen, Chief Executive Officer |
Præstevejen 38 3230 Græsted Denmark |
Chief Executive Officer, Novo Nordisk Foundation | Denmark | |||
| Anne Marie Kverneland, Director |
Nybrovej 216 2800 Kgs. Lyngby Denmark |
Laboratory technician, Novo Nordisk A/S | Denmark | |||
| Lars Bo Køppler, Director |
Anemonevej 7 3550 Slangerup Denmark |
Technician, Novozymes A/S | Denmark | |||
| Lars Henrik Fugger, Director |
72 Staunton Road, Headington Great Britain |
Professor, John Radcliffe Hospital, University of Oxford, Oxford, Great Britain | Denmark | |||
| Lars Henrik Munch, Director |
Galionsvej 46 1437 Copenhagen K Denmark |
Professional Board Director | Denmark | |||
| Mads Boritz Grøn, Director |
Horsevænget 4 3400 Hillerød Denmark |
Senior Lead Auditor | Denmark | |||
| Liselotte Højgaard, Director |
Grønningen 21 1270 Copenhagen K Denmark |
Professor | Denmark | |||