Vivo Capital VIII, LLC 4
4 · Aligos Therapeutics, Inc. · Filed Oct 20, 2020
Insider Transaction Report
Form 4
Vivo Capital VIII, LLC
10% Owner
Transactions
- Conversion
Common Stock
[F1][F2]2020-10-20+1,885,611→ 1,885,611 total(indirect: Vivo Capital Fund VIII, L.P.) - Conversion
Common Stock
[F1][F2]2020-10-20+523,726→ 2,409,337 total(indirect: Vivo Capital Fund VIII, L.P.) - Conversion
Common Stock
[F1][F2]2020-10-20+224,054→ 2,633,391 total(indirect: Vivo Capital Fund VIII, L.P.) - Conversion
Common Stock
[F1][F2]2020-10-20+260,380→ 260,380 total(indirect: Vivo Capital Surplus Fund VIII, L.P.) - Conversion
Common Stock
[F1][F2]2020-10-20+72,320→ 332,700 total(indirect: Vivo Capital Surplus Fund VIII, L.P.) - Conversion
Common Stock
[F1][F2]2020-10-20+30,939→ 363,639 total(indirect: Vivo Capital Surplus Fund VIII, L.P.) - Purchase
Common Stock
[F2]2020-10-20$15.00/sh+483,267$7,249,005→ 3,116,658 total(indirect: Vivo Capital Fund VIII, L.P.) - Purchase
Common Stock
[F2]2020-10-20$15.00/sh+66,733$1,000,995→ 430,372 total(indirect: Vivo Capital Surplus Fund VIII, L.P.) - Conversion
Series A Preferred Stock
[F1][F2]2020-10-20−1,885,611→ 0 total(indirect: Vivo Capital Fund VIII, L.P.)→ Common Stock (1,885,611 underlying) - Conversion
Series A Preferred Stock
[F1][F2]2020-10-20−260,380→ 0 total(indirect: Vivo Capital Surplus Fund VIII, L.P.)→ Common Stock (260,380 underlying) - Conversion
Series B-1 Preferred Stock
[F1][F2]2020-10-20−523,726→ 0 total(indirect: Vivo Capital Fund VIII, L.P.)→ Common Stock (523,726 underlying) - Conversion
Series B-1 Preferred Stock
[F1][F2]2020-10-20−72,320→ 0 total(indirect: Vivo Capital Surplus Fund VIII, L.P.)→ Common Stock (72,320 underlying) - Conversion
Series B-2 Preferred Stock
[F1][F2]2020-10-20−224,054→ 0 total(indirect: Vivo Capital Fund VIII, L.P.)→ Common Stock (224,054 underlying) - Conversion
Series B-2 Preferred Stock
[F1][F2]2020-10-20−30,939→ 0 total(indirect: Vivo Capital Surplus Fund VIII, L.P.)→ Common Stock (30,939 underlying)
Footnotes (2)
- [F1]Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date.
- [F2]Vivo Capital VIII, LLC ("Vivo LLC") is the general partner of each of Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P., the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund VIII, L.P. and Vivo Capital Surplus Fund VIII, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed ad admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
Signature
See Remarks|2020-10-20