Aligos Therapeutics Inc
For the period ended Dec 31, 2023. Filed Mar 12, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Mar 12, 2024
ALGS$3.95-2.9%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 16. Form 10-K Summary
None.
Exhibit Index
| Incorporated by Reference · FiledHerewith | ||||
|---|---|---|---|---|
| ExhibitNumber | Exhibit Description | Form | Date | Number |
| 3.1 | Amended and Restated Certificate of Incorporation. | 8-K | 10/20/2020 | 3.1 |
| 3.2 | Amended and Restated Bylaws. | 8-K | 10/20/2020 | 3.2 |
| 4.1 | Reference is made to Exhibits 3.1 and 3.2. | |||
| 4.2 | Form of Common Stock Certificate. | S-1/A | 10/9/2020 | 4.2 |
| 4.3 | Description of Securities. | 10-K | 3/23/2021 | 4.3 |
| 4.4 | Form of Pre-Funded Warrant | 8-K | 10/25/2023 | 4.1 |
| 4.5 | Form of Common Warrant | 8-K | 10/25/2023 | 4.2 |
| 10.1(a)† | Aligos Therapeutics/Emory University License Agreement by and between Aligos Therapeutics, Inc. and Emory University, dated June 26, 2018. | S-1 | 9/25/2020 | 10.1(a) |
| 10.1(b)† | First Amendment to License Agreement by and between Aligos Therapeutics, Inc. and Emory University, dated June 18, 2020. | S-1 | 9/25/2020 | 10.1(b) |
| 10.2(a)† | License Agreement by and between Aligos Therapeutics, Inc. and Luxna Biotech Co., Ltd., dated December 19, 2018. | S-1 | 9/25/2020 | 10.2(a) |
| 10.2(b)† | Amendment to License Agreement by and between Aligos Therapeutics, Inc. and Luxna Biotech Co., Ltd., dated April 8, 2020. | S-1 | 9/25/2020 | 10.2(b) |
| 10.3 | Lease between Aligos Therapeutics, Inc. and Britannia Biotech Gateway Limited Partnership, dated June 21, 2018. | S-1 | 9/25/2020 | 10.3 |
| 10.4 | Amended and Restated Investors’ Rights Agreement dated October 9, 2020. | S-1/A | 10/9/2020 | 10.4 |
| 10.5(a)# | 2018 Equity Incentive Plan, as amended. | S-1 | 9/25/2020 | 10.5(a) |
| 10.5(b)# | Form of Stock Option Grant Notice and Stock Option Agreement under 2018 Equity Incentive Plan, as amended. | S-1 | 9/25/2020 | 10.5(b) |
| 10.5(c)# | Form of Early Exercise Stock Option Grant Notice and Stock Option Agreement under 2018 Equity Incentive Plan, as amended. | S-1 | 9/25/2020 | 10.5(c) |
| 10.5(d)# | Form of International Stock Option Grant Notice and Stock Option Agreement under 2018 Equity Incentive Plan, as amended. | S-1 | 9/25/2020 | 10.5(d) |
| 10.6(a)# | 2020 Incentive Award Plan. | S-1/A | 10/9/2020 | 10.6(a) |
| 10.6(b)# | Form of Stock Option Grant Notice and Stock Option Agreement under the 2020 Incentive Award Plan. | S-1/A | 10/9/2020 | 10.6(b) |
| 10.6(c)# | Form of Restricted Stock Award Agreement under the 2020 Incentive Award Plan. | S-1/A | 10/9/2020 | 10.6(c) |
| 10.6(d)# | Form of Restricted Stock Unit Award Grant Notice under the 2020 Incentive Award Plan. | S-1/A | 10/9/2020 | 10.6(d) |
| 10.7# | 2020 Employee Stock Purchase Plan. | S-1/A | 10/9/2020 | 10.7 |
| 10.8# | Form of Indemnification Agreement for directors and officers. | S-1/A | 10/9/2020 | 10.12 |
| 10.9# | Amended and Restated Employment Agreement, effective as of February 10, 2021, by and between the Company and Leonid Beigelman, Ph.D. | 10-Q | 5/10/2021 | 10.1 |
| 10.10# | Amended and Restated Employment Agreement, effective as of February 10, 2021, by and between the Company and Lawrence M. Blatt, Ph.D. | 10-Q | 5/10/2021 | 10.2 |
| 10.11# | Employment Agreement by and between Aligos Therapeutics, Inc. and Julian Symons, D.Phil., effective as of May 14, 2019. | 10-Q | 5/10/2021 | 10.3 | |
| 10.12# | Form of Change in Control and Severance Agreement. | 10-Q | 5/10/2021 | 10.4 | |
| 10.13# | Lease Agreement between 601 & 651 GATEWAY CENTER LP and ALIGOS THERAPEUTICS, INC., dated December 9, 2021 | 10-K | 3/10/2022 | 10.16 | |
| 10.14# | Non-Employee Director Compensation Program | 10-Q | 5/4/2023 | 4.3 | |
| 10.15# | Form of Securities Purchase Agreement, dated October 23, 2023, by and among the Company and the Purchasers. | 8-K | 10/25/2023 | 10.1 | |
| 10.16# | Amended and Restated Employment Agreement, effective as of December 1, 2020, by and between the Company and Matthew McClure | X | |||
| 10.17# | Amended and Restated Employment Agreement, effective as of December 1, 2020, by and between the Company and Lesley Calhoun | X | |||
| 10.18# | Separation and release agreement with Leonid Beigelman | X | |||
| 21.1 | Subsidiaries of Registrant. | 10-K | 3/9/2023 | 21.1 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm. | X | |||
| 31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 31.2 | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 32.1* | Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | |||
| 32.2* | Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | |||
| 97.1 | Policy relating to Recovery of Erroneously Awarded Compensation | X | |||
| 101.INS | Inline XBRL Instance Document. | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents | X | |||
| 104 | The cover page from the Company’s Annual Report on Form 10-K for the year ended December 31, 2023 has been formatted in Inline XBRL. | X | |||
† Portions of the exhibit, marked by brackets, have been omitted because the omitted information (i) is not material and (ii) is the type of information that the registrant both customarily and actually treats as private and confidential.
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