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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to Buy) | $ 16.18 | 02/27/2024 | D | 200,000 | 01/01/2021 | 12/01/2030 | Common Stock | 200,000 | $ 0 (1) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 3.06 | 02/27/2024 | D | 105,000 | 03/04/2022 | 02/04/2032 | Common Stock | 105,000 | $ 0 (2) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 3.06 | 02/27/2024 | D | 26,250 | 02/04/2025 | 02/04/2032 | Common Stock | 26,250 | $ 0 (3) | 0 | D | ||||
| Stock Option (Right to Buy) | $ 0.96 | 02/28/2024 | A | 58,822 | (4) | 12/01/2030 | Common Stock | 58,822 | $ 0 (1) | 58,822 | D | ||||
| Stock Option (Right to Buy) | $ 0.96 | 02/28/2024 | A | 74,998 | (5) | 02/04/2032 | Common Stock | 74,998 | $ 0 (2) | 74,998 | D | ||||
| Stock Option (Right to Buy) | $ 0.96 | 02/28/2024 | A | 18,750 | (4) | 02/04/2032 | Common Stock | 18,750 | $ 0 (3) | 18,750 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Symons Julian A. C/O ALIGOS THERAPEUTICS, INC. ONE CORPORATE DRIVE, 2ND FLOOR SOUTH SAN FRANCISCO, CA 94080 |
See Remarks | |||
| /s/ Lesley Ann Calhoun, as attorney-in fact for Julian A. Symons | 02/28/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 200,000 of the issuer's shares granted to the reporting person on December 1, 2020. In exchange, on February 28, 2024, the reporting person received a replacement option, for 58,822 shares, having an exercise price of $0.96 per share. |
| (2) | On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 105,000 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 74,998 shares, having an exercise price of $0.96 per share. |
| (3) | On February 27, 2024, the issuer canceled, pursuant to the issuer's option exchange program, an option for 26,250 of the issuer's shares granted to the reporting person on February 4, 2022. In exchange, on February 28, 2024, the reporting person received a replacement option, for 18,750 shares, having an exercise price of $0.96 per share. |
| (4) | The shares subject to the option will vest and become exercisable on the one year anniversary of the date of grant, subject to the reporting person's continued service with the issuer through such one year anniversary. |
| (5) | The shares subject to the option will vest and become exercisable as to 75% of the total number of shares subject to the option on the one year anniversary of the date of the grant and with respect to 1/48th of the total number of shares subject to the option in successive, equal monthly installments on each monthly anniversary thereafter, subject to the reporting person's continued service with the issuer on each such vesting date. |
| Remarks: Executive Vice President, Chief Scientific Officer |
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