SEC Form 4 · accession 0001140361-16-062223
ARADIGM CORP · ARDM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Apr 25, 2016
Accepted (ET)
Apr 27, 2016 · 4:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001013238
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 9.0% Senior Convertible Notes due 2021F3,F4,F1,F2,F5 | — | Apr 25, 2016 | P | 3,000,000 | A | — | Apr 30, 2021 | Common Stock | 575,815 | 3,000,000 | I |
Explanation of responses
- F1See Exhibit 99.1.
- F2See Exhibit 99.1.
- F3See Exhibit 99.1.
- F4See Exhibit 99.1.
- F5See Exhibit 99.1.
Remarks
List of Exhibits: Exhibit 99.1 - Explanation of Responses