SEC Form 4 · accession 0001140361-16-088916
ARADIGM CORP · ARDM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 5:13 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to purchase Common Stock (right to buy)F1,F3,F2,F5,F6,F4 | $5.21 | Dec 2, 2016 | P | 259,117 | A | Jan 10, 2017 | Jul 14, 2021 | Common Stock | 259,117 | 259,117 | I |
| 9.0% Senior Convertible Notes due 2021F7,F8,F5,F6,F9 | — | holding | — | — | — | — | 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.
- F6See Exhibit 99.1.
- F7See Exhibit 99.1.
- F8See Exhibit 99.1.
- F9See Exhibit 99.1.
Remarks
List of Exhibits: Exhibit 99.1 - Explanation of Responses