SEC Form 4 · accession 0001567619-18-005067
ARADIGM CORP · ARDM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 1, 2018
Accepted (ET)
Nov 5, 2018 · 1:52 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 9.0% Senior Convertible Notes due 2021F1,F4,F5,F7,F2,F3,F6 | — | Nov 1, 2018 | J | 141,076 | A | — | Apr 30, 2021 | Common Stock | 27,076 | 3,276,076 | 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.