Aligos Therapeutics Inc
For the period ended Sep 30, 2024. Filed Nov 6, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2024 · Filed Nov 6, 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 6. Exhibits
| ExhibitNumber · Exhibit Description · Incorporated by Reference · ProvidedHerewith | |||||
|---|---|---|---|---|---|
| Form · Date · Number | |||||
| 3.1 (a) | Amended and Restated Certificate of Incorporation. | 8-K | 10/20/2020 | 3.1 | |
| 3.1 (b) | Certificate of Amendment to Amended and Restated Certificate of Incorporation. | 8-K | 6/28/2024 | 3.1 | |
| 3.1 (c) | Certificate of Amendment to Amended and Restated Certificate of Incorporation. | 8-K | 8/19/2024 | 3.1 | |
| 3.2 | Amended and Restated Bylaws. | 8-K | 10/20/2020 | 3.2 | |
| 4.1 | Reference is made to Exhibits 3.1(a), 3.1(b) and 3.2. | ||||
| 4.2 | Form of Common Stock Certificate. | X | |||
| 4.3 | Form of Common Warrant Agreement. | 8-K | 10/25/2023 | 4.2 | |
| 4.4 | Form of Pre-Funded Warrant Agreement. | 8-K | 10/25/2023 | 4.1 | |
| 10.1(a)# | 2024 Employment Inducement Award Plan. | X | |||
| 10.1(b)# | Form of Stock Option Grant Notice and Stock Option Agreement. | X | |||
| 10.1(c)# | Form of Restricted Stock Unit Award Grant Notice and Restricted Stock Unit Award Agreement. | X | |||
| 10.2# | Employment Agreement by and between Aligos Therapeutics, Inc. and Hardean Achneck, MD, effective as of September 4, 2024 | X | |||
| 10.3# | Non-Employee Director Compensation Policy | 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 | |||
| 101.INS | Inline XBRL Instance Document. | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | X | |||
| 104 | The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2024 has been formatted in Inline XBRL. | X | |||
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