Sec Form 4 Filing - Wellington Biomedical Innovation Master Investors (Cayman) I L.P. @ Aligos Therapeutics, Inc. - 2020-10-20

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Wellington Biomedical Innovation Master Investors (Cayman) I L.P.
2. Issuer Name and Ticker or Trading Symbol
Aligos Therapeutics, Inc. [ ALGS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O WELLINGTON MANAGEMENT COMPANY LLP, 280 CONGRESS STREET
3. Date of Earliest Transaction (MM/DD/YY)
10/20/2020
(Street)
BOSTON, MA02210
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/20/2020 C 1,335,048 A 1,335,048 D
Common Stock 10/20/2020 C 571,143 A 1,906,191 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series B-1 convertible Preferred Stock ( 1 ) 10/20/2020 C 1,335,048 ( 1 ) ( 1 ) Common Stock 1,335,048 $ 0 0 D
Series B-2 convertible Preferred Stock ( 1 ) 10/20/2020 C 571,143 ( 1 ) ( 1 ) Common Stock 571,143 $ 0 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Wellington Biomedical Innovation Master Investors (Cayman) I L.P.
C/O WELLINGTON MANAGEMENT COMPANY LLP
280 CONGRESS STREET
BOSTON, MA02210
X
Signatures
Wellington Biomedical Innovation Master Investors(Cayman) I L.P., By: Wellington AlternativeInvestments, as General Partner, By: /s/ Peter N.McIsaac, Title: Managing Director & Counsel 10/22/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The shares of series B-1 convertible preferred stock and series B-2 convertible preferred stock shall automatically convert into shares ofCommon Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and have noexpiration date.

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