Aligos Therapeutics Inc 2024年度报告

(Mark One) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITIONPERIOD FROMTO (Exact name of Registrant as specified in its Charter) Delaware(State or other jurisdiction ofincorporation or organization)One Corporate Drive,2 FloorSouth San Francisco,California(Address of principal executive offices)nd Registrant’s telephone number, including area code: (800)466-6059 Securities registered pursuant to Section 12(b) of the Act: Title of each classTrading Symbol(s)Name of each exchange on which registeredCommon Stock, par value, $0.0001 per shareALGSThe Nasdaq Stock Market LLC(Nasdaq Capital Market) Securities registered pursuant to Section 12(g) of the Act:None Indicate by check mark if the Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.YES☐NO☒ Indicate by check mark whether the Registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during thepreceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for thepast 90 days.YES☒NO☐ Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of RegulationS-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit such files).YES☒NO☐ Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerginggrowth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2of the Exchange Act. If an emerging growth company, indicate by check mark if the Registrant has elected not to use the extended transition period for complying with any new orrevised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.☐ Indicate by check mark whether the Registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control overfinancial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued itsaudit report.☐ If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflectthe correction of an error to previously issued financial statements.☐ Indicate by checkmark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any ofthe registrant's executive officers during the relevant recover period pursuant to Section 240.10D-1(b).☐ Indicate by check mark whether the Registrant is a shell company (as defined in Rule 12b-2 of the Act).YES☐NO☒ The aggregate market value of voting and non-voting common stock held by non-affiliates of the Registrant was approximately $38.7million as of June 28, 2024,the last business day of the Registrant's most recently completed second fiscal quarter, based on (i) 3,191,425 shares of common stock, $0.0001 par value per share,outstanding, comprised of 3,067,732 shares of voting common stock, $0.0001 par value per share and 123,693 shares of non-voting common stock, $0.0001 parvalue per share, and (ii) the closing sales price for the Registrant’s common stock on the Nasdaq Capital Market on such date. As of March 6, 2025, the Registrant had6,114,311shares of common stock, $0.0001 par value per share, outstanding, comprised of5,314,311shares of votingcommon stock, $0.0001 par value per share and800,000shares of non-voting common stock, $0.0001 par value per share. This number does not include 4,363,916shares of common stock issuable upon the exercise of pre-funded warrants outstanding as of March 6, 2025 (which are immediately exercisable at an exercise priceof $0.0025 and $0.0001 per share of common stock, respectively, subject to beneficial ownership limitations) sold in the Registrant’s private placement on October23, 2023 and February 13, 2025. See Note 8—Common Warrants and Pre- Funded Warrants to the Registrant’s audited financial statements. DOCUMENTS INCORPORATED BY REFERENCE Portions of the Registrant’s Definitive Proxy Statement relating to the 2025 Annual Meeting of Stockholders, which will be filed with the Securities and ExchangeCommission within 120 days after the end of the Registrant’s fiscal year ended December 31, 2024, are incorporated by reference into Part III of this Report. Table of Contents PART I Item 1.BusinessItem 1A.Risk FactorsItem 1B.Unresolved Staff CommentsItem 1C.Cyb