SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): June 17, 2021
Aligos Therapeutics, Inc.
(Exact name of registrant as specified in its charter)
(State or other jurisdiction
One Corporate Dr., 2nd Floor
South San Francisco, CA 94080
(Address of principal executive offices, including Zip Code)
Registrants telephone number, including area code: (800) 466-6059
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Name of each exchange
on which registered
|Common Stock, $0.0001 par value per share||ALGS|| |
The Nasdaq Stock Market LLC
(Nasdaq Global Select Market)
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
|Item 5.07|| |
Submission of Matters to a Vote of Security Holders.
On June 17, 2021, Aligos Therapeutics, Inc. (the Company) held its Annual Meeting of Stockholders (the Annual Meeting). At the Annual Meeting, the Companys stockholders voted on two proposals, each of which is described in more detail in the Companys definitive proxy statement on Schedule 14A filed with the Securities and Exchange Commission on April 27, 2021. Only stockholders of record as of the close of business on April 21, 2021, the record date for the Annual Meeting, were entitled to vote at the Annual Meeting. As of the record date, 35,055,445 shares of the Companys voting common stock were outstanding and entitled to vote at the Annual Meeting. The tabulation of the stockholder votes on each proposal brought before the Annual Meeting is as follows:
Proposal 1. The election of two Class I directors to hold office until the 2024 annual meeting of stockholders or until their respective successor is elected:
|Votes For||Votes Withheld||Broker
Lawrence M. Blatt, Ph.D.
Proposal 2. The ratification of the selection by the audit committee of the board of directors of the Company of Ernst & Young LLP as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2021:
|Votes For||Votes Against||Abstentions|
As a routine proposal under applicable rules, no broker non-votes were recorded in connection with this proposal.
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|ALIGOS THERAPEUTICS, INC.|
|Date: June 24, 2021||By:|
|Lesley Ann Calhoun|
|Executive Vice President, Chief Financial Officer|