Vivo Capital VIII, LLC 3
3 · Aligos Therapeutics, Inc. · Filed Oct 15, 2020
Insider Transaction Report
Form 3
Vivo Capital VIII, LLC
10% Owner
Holdings
- (indirect: Vivo Capital Fund VIII, L.P.)
Series B-1 Preferred Stock
→ Common Stock (523,726 underlying) - (indirect: Vivo Capital Fund VIII, L.P.)
Series A Preferred Stock
→ Common Stock (1,885,611 underlying) - (indirect: Vivo Capital Surplus Fund VIII, L.P.)
Series B-1 Preferred Stock
→ Common Stock (72,320 underlying) - (indirect: Vivo Capital Surplus Fund VIII, L.P.)
Series A Preferred Stock
→ Common Stock (260,380 underlying) - (indirect: Vivo Capital Fund VIII, L.P.)
Series B-2 Preferred Stock
→ Common Stock (224,054 underlying) - (indirect: Vivo Capital Surplus Fund VIII, L.P.)
Series B-2 Preferred Stock
→ Common Stock (30,939 underlying)
Footnotes (3)
- [F1]At any time at the holder's election or automatically upon the closing of the Issuer's initial public offering, shares of the Issuer's preferred stock will convert into shares of the Issuer's common stock on a one for one basis without payment or consideration. The preferred stock has no expiration date.
- [F2]Reflects a 1-for-9.3197 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.
- [F3]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.