Form 4 for ALGS Aligos Therapeutics, Inc.
Accepted 2023-10-27 00:00:00 ET · period of report 2023-10-25 · accession 0001610717-23-000320 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2023-10-27 | 2023-10-25 | ALGS | Nuechterlein Carole | Dir, 10% | P - Purchase | $0.76 | +7.93M | 11.03M | +257% | +$6.03M |
| DI | 2023-10-27 | 2023-10-25 | ALGS | Nuechterlein Carole | Dir, 10% | P - Purchase | $0.13 | +3.97M | 3.97M | New | +$515.7K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-10-25 | P | A | 7,933,601 | $0.76 | 11,025,941 | I See footnote | — | — | (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. |
| 2 | Derivative | Warrant (Right to Buy) | 2023-10-25 | P | A | 3,966,800 | $0.13 | 3,966,800 | I See footnote | $0.76 · 2023-10-25 to 2030-10-25 | 3,966,800 Common Stock | (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. |