SEC Form 3 · accession 0001104659-18-051570
Aridis Pharmaceuticals, Inc. · ARDS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vu Truong
Officer — CEO, CSO, Director · Director · 10% Owner
Period of report
Aug 13, 2018
Accepted (ET)
Aug 13, 2018 · 7:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001614067
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 732,352 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $2.89 | holding | — | — | — | — | Mar 16, 2025 | Common Stock | 77,908 | — | D |
| Stock OptionsF2 | $12.96 | holding | — | — | — | — | Dec 4, 2025 | Common Stock | 23,373 | — | D |
| Stock Options | $13.16 | holding | — | — | — | Mar 1, 2017 | Oct 26, 2026 | Common Stock | 23,373 | — | D |
| Stock OptionsF3 | $17.01 | holding | — | — | — | — | Dec 5, 2027 | Common Stock | 116,861 | — | D |
Explanation of responses
- F1The Stock Options vest in equal installments over 48 months, beginning on December 31, 2014.
- F2The Stock Options vest in equal installments over 48 months, beginning on December 4, 2015.
- F3The Stock Options vest in equal installments over 48 months, beginning on December 5, 2017.