Amendment: SEC Form SCHEDULE 13D/A filed by Aligos Therapeutics Inc.
$ALGS
Biotechnology: Biological Products (No Diagnostic Substances)
Health Care
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)
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Aligos Therapeutics, Inc. (Name of Issuer) |
Common Stock, par value $0.0001 per share (Title of Class of Securities) |
01626L204 (CUSIP Number) |
Lawrence M. Blatt, Ph.D. One Corporate Dr., 2nd Floor South San Francisco, CA, 94080 (800) 466-6059 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) |
03/10/2025 (Date of Event Which Requires Filing of This Statement) |
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other
provisions of the Act (however, see the Notes).
SCHEDULE 13D
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| CUSIP No. | 01626L204 |
| 1 |
Name of reporting person
Lawrence M. Blatt, Ph.D. | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
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| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
OO | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
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| 6 | Citizenship or place of organization
UNITED STATES
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
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| 11 | Aggregate amount beneficially owned by each reporting person
175,509.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
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| 13 | Percent of class represented by amount in Row (11)
3.2 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
IN |
SCHEDULE 13D
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| Item 1. | Security and Issuer | |
| (a) | Title of Class of Securities:
Common Stock, par value $0.0001 per share | |
| (b) | Name of Issuer:
Aligos Therapeutics, Inc. | |
| (c) | Address of Issuer's Principal Executive Offices:
One Corporate Dr., 2nd Floor, South San Francisco,
CALIFORNIA
, 94080. | |
Item 1 Comment:
This Amendment No. 1 to Schedule 13D ("Amendment No. 1") amends and supplements the Schedule 13D filed with the United States Securities and Exchange Commission (the "SEC") on November 6, 2023 (as amended to date, the "Schedule 13D"), relating to the Voting Common Stock, par value $0.0001 per share (the "Common Stock"), of Aligos Therapeutics, Inc., a Delaware corporation (the "Issuer"). Capitalized terms used herein without definition shall have the meaning set forth in the Schedule 13D. | ||
| Item 5. | Interest in Securities of the Issuer | |
| (a) | The information contained on the cover page is incorporated by reference into this Item 5.
The information presented herein sets forth, as of the date of this Schedule 13D, the aggregate number of shares of Common Stock and percentage of Common Stock beneficially owned by the Reporting Person, as well as the number of shares of Common Stock as to which the Reporting Person has the sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition of, or shared power to dispose or to direct the disposition of, as of the date hereof, based on 5,314,311 shares of Common Stock outstanding as of March 6, 2025, as disclosed in the Issuer's Annual Report on Form 10-K filed with the SEC on March 10, 2025. All amounts reported herein reflect a 1-for-25 reverse stock split of the Issuer's securities effected on August 19, 2024
The Reporting Person's beneficial ownership consists of: (i) 73,902 shares of Common Stock held of record by the Reporting Person; (ii) 4,536 shares of Common Stock held by the Lawrence M. Blatt Living Trust dated 8/27/2014, of which Mr. Blatt is trustee, (iii) 4,904 shares of Common Stock held by the PENSCO Trust Company LLC Custodian FBO Dr. Lawrence Blatt IRA, (iv) 740 shares of Common Stock held by the Zachary David Blatt Irrevocable Trust dated 8/24/2014, (v) 740 shares of Common Stock held by the Zoe Anne Blatt Irrevocable Trust dated 8/24/2014; (vi) 12,206 shares of Common Stock underlying the Common Warrants and (vii) 78,481 shares of Common Stock underlying options that will vest within 60 days of the date hereof. | |
| (b) | The information contained on the cover page is incorporated by reference to this Item 5. | |
| (c) | During the past 60 days, the Reporting Person has not effected any transactions with respect to the Common Stock. | |
| (d) | None. | |
| (e) | As of the date hereof, the Reporting Person ceased to be the beneficial owner of more than five percent of the outstanding shares of Common Stock. | |
| SIGNATURE | |
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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