Aligos Therapeutics, Inc.
For the period ended Sep 30, 2026. Filed Nov 6, 2026.
View on SEC.govAbout this filing
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, 2026 · Filed Nov 6, 2026
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 | |
| 3.1(d) | Certificate of Amendment to Amended and Restated Certificate of Incorporation. | 8-K | 6/26/2025 | 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), 3.1(c), 3.1(d) and 3.2. | ||||
| 4.2 | Form of Common Stock Certificate. | 10-Q | 11/6/2024 | 4.2 | |
| 4.3 | Form of 2023 Common Warrant Agreement. | 8-K | 10/25/2023 | 4.2 | |
| 4.4 | Form of 2023 Pre-Funded Warrant Agreement. | 8-K | 10/25/2023 | 4.1 | |
| 4.5 | Form of 2025 Common Warrant Agreement. | 8-K | 2/12/2025 | 4.2 | |
| 4.6 | Form of 2025 Pre-Funded Warrant Agreement. | 8-K | 2/12/2025 | 4.1 | |
| 10.1† | License Agreement by and between Aligos Therapeutics, Inc. and Xiamen Amoytop Biotech Co., Ltd. | 10-Q | 8/6/2026 | 10.3 | |
| 10.2 | First Amendment to Lease by and between Aligos Therapeutics, Inc. and Britannia Biotech Gateway Limited Partnership, dated September 10, 2026 | 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 with embedded linkbase documents. | X | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | 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.
- The certifications attached as Exhibits 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q, are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of Aligos Therapeutics, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing.
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