Item 5. Other Information
Item 5. Other Information.
Not applicable.
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Table of Contents
Item 6. Exhibits.
Exhibit
Number
Exhibit Description
Incorporated by Reference
Provided
Herewith
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
10.1(a)#
2020 Incentive Award Plan.
S-1/A
10/9/2020
10.6(a)
10.1(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)
10.1(c)
Form of Restricted Stock Award Agreement under the 2020 Incentive Award Plan.
S-1/A
10/9/2020
10.6(c)
10.1(d)#
Form of Restricted Stock Unit Award Grant Notice under the 2020 Incentive Award Plan.
S-1/A
10/9/2020
10.6(d)
10.2#
2020 Employee Stock Purchase Plan.
S-1/A
10/9/2020
10.7
10.3#
Non-Employee Director Compensation Program.
S-1/A
10/9/2020
10.11
10.4
Form of Indemnification Agreement for directors and officers
S-1/A
10/9/2020
10.12
10.5
Amended and Restated Investors Rights Agreement dated October 9, 2020.
S-1/A
10/9/2020
10.4
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
XBRL Instance Document.
X
101.SCH
XBRL Taxonomy Extension Schema Document.
X
101.CAL
XBRL Taxonomy Extension Calculation Linkbase Document.
X
101.DEF
XBRL Taxonomy Extension Definition Linkbase Document.
X
101.LAB
XBRL Taxonomy Extension Label Linkbase Document.
X
101.PRE
XBRL Taxonomy Extension Presentation Linkbase Document.
X
#
Indicates management contract or compensatory plan.
*
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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Table of Contents
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on
its behalf by the undersigned thereunto duly authorized.
ALIGOS THERAPEUTICS, INC.
Date: November 25, 2020
By:
/s/ Lawrence Blatt
Lawrence Blatt
Chief Executive Officer
Date: November 25, 2020
By:
/s/ Lesley Ann Calhoun
Lesley Ann Calhoun
Chief Financial Officer
99
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.