Mga Batayang Estadistika
| LEI | 549300I46MRQ1CGCIY65 |
| CIK | 1013238 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Aradigm Corp.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-36480 Aradigm Corporation (Exact name of registrant as specified |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 30, 2020 |
S-8 POS Registration No. 333-15947 Registration No. 333-62039 Registration No. 333-92169 Registration No. 333-43152 Registration No. 333-63116 Registration No, 333-85244 Registration No. 333-107157 Registration No. 333-128525 Registration No. 333-135122 Registration No. 333-148226 Registration No. 333-152501 Registration No. 333-161142 Registration No. 333-169580 Registration No. 333-187947 Regist |
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| June 15, 2020 |
EX-99.1 Exhibit 99.1 June 15, 2020 Aradigm Announces Effective Date of Modified Combined Chapter 11 Plan and Disclosure Statement Newark, Calif.—(BUSINESSWIRE)— Aradigm Corporation (OTC PINK: ARDM) (“Aradigm” or the “Company”) announced on June 12, 2020, the Bankruptcy Court entered an order confirming the Debtor’s Modified Combined Chapter 11 Plan and Disclosure Statement (the “Combined Plan”) fi |
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| June 15, 2020 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 12, 2020 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commission |
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| June 4, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2020 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commission |
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| April 30, 2020 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2020 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commissio |
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| April 30, 2020 |
EX-99.1 Exhibit 99.1 April 30, 2020 Aradigm Announces Conditional Approval for the Combined Chapter 11 Plan and Disclosure Statement Newark, Calif.—(BUSINESSWIRE)— Aradigm Corporation (OTC PINK: ARDM) (“Aradigm” or the “Company”) announced on April 27, 2020, the Bankruptcy Court entered an order (i) conditionally approving the disclosure statement for the Combined Chapter 11 Plan and Disclosure St |
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| April 13, 2020 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 8, 2020 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commission |
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| April 3, 2020 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2020 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commissio |
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| April 3, 2020 |
EX-99.1 Exhibit 99.1 April 3, 2020 Aradigm Announces Sale of Assets to Grifols, S.A. Newark, Calif.—(BUSINESSWIRE)—Aradigm Corporation (OTC PINK: ARDM) (“Aradigm” or the “Company”) announced on March 30, 2020, the Bankruptcy Court entered an order approving the sale by Aradigm Corporation (the “Company”) to Grifols, S.A. (the “Buyer”) of the Company’s assets and intellectual property that pertain |
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| March 9, 2020 |
EX-1.1 Exhibit 1.1 Bidding Procedures Set forth below are the bidding procedures (the “Bidding Procedures”) to be employed with respect to the prospective sale by Aradigm corporation (the “Seller”), as the debtor and debtor-in-possession in its chapter 11 bankruptcy case, Case No. 19-40363 WJL, of substantially all of its assets, free and clear of all liens, claims, interests, and encumbrances (th |
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| March 9, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2020 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commission |
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| February 21, 2020 |
Asset Purchase Agreement dated February 18, 2020, between Aradigm Corporation and Grifols, S.A. EX-10.1 Exhibit 10.1 Execution version ASSET PURCHASE AGREEMENT between ARADIGM CORPORATION, A California Corporation (“Seller”), and GRIFOLS, S.A., A Company Organized Under the Laws of the Kingdom of Spain (“Buyer”), dated as of February 18, 2020 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1.01 1 ARTICLE II PURCHASE AND SALE 10 Section 2.01 Purchase and Sale of Assets 10 Section 2.02 |
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| February 21, 2020 |
Aradigm Announces Entering into an Asset Purchase Agreement with Grifols, S.A. EX-99.1 Exhibit 99.1 Aradigm Announces Entering into an Asset Purchase Agreement with Grifols, S.A. Newark, Calif.—(BUSINESSWIRE)— Aradigm Corporation (OTC PINK: ARDM) (“Aradigm” or the “Company”) today announced that the Company has entered into an Asset Purchase Agreement pursuant to which Grifols, S.A. (the “Buyer”) will acquire the Company’s assets and intellectual property that pertain to Lip |
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| February 21, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 18, 2020 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commis |
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| October 30, 2019 |
EX-99.1 Exhibit 99.1 October 30, 2019 Aradigm Announces Withdrawal of European Marketing Authorization Application (MAA) for Linhaliq Newark Calif., October 30, 2019 - (BUSINESSWIRE) - Aradigm Corporation (OTCQB: ARDMQ) (“Aradigm” or the “Company”) today announced that following a recent Oral Explanation, it has withdrawn its Marketing Authorization Application (MAA) for Linhaliq as a treatment fo |
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| October 30, 2019 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| October 22, 2019 |
ARDM / Aradigm Corp. RW - - RW RW Aradigm Corporation 39655 Eureka Drive Newark, CA 94560 October 22, 2019 VIA EDGAR [AND OVERNIGHT DELIVERY] United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 21, 2019 |
EX-99.1 Exhibit 99.1 October 21, 2019 Aradigm Receives Feedback Following an Oral Explanation with the European Medicines Agency Newark Calif., October 21, 2019—(BUSINESSWIRE)— Aradigm Corporation (OTCQB: ARDM) (“Aradigm” or the “Company”) today announced that following a recent Oral Explanation, it has received feedback that a negative opinion is likely to be received in November 2019 from the CH |
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| October 21, 2019 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 15, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| September 5, 2019 |
ARDM / Aradigm Corp. / Bleichroeder Lp - ARADIGM-13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. ) Aradigm Corporation (Name of Issuer) Common Shares, no par value (Title of Class of Securities) 038505301 (CUSIP Number) 1345 Avenue of the Americas, 47th Floor, New York, New York 10105, (212) 698-3101 (Name, Address and Telephone Number of Person Authori |
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| September 4, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7)* Aradigm Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) David O’Connor First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, New York 10105 (212) 698-3300 (Name, Address and Telep |
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| June 10, 2019 |
Entry into a Material Definitive Agreement 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commission |
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| April 23, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 23, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commissio |
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| February 22, 2019 |
EX-99.1 Exhibit 99.1 February 21, 2019 Aradigm Announces Receipt of Final FDA Minutes for the Type B Meeting on January 25, 2019 HAYWARD, Calif., February 21, 2019—(BUSINESSWIRE)—Aradigm Corporation (Pink Market: ARDM) (“Aradigm” or the “Company”). At the Type B meeting, Aradigm presented the results of the Third Party Evaluation (TPE) completed in December 2019 that addressed the clinical issue r |
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| February 22, 2019 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 15, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commis |
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| February 16, 2019 |
EX-99.1 Exhibit 99.1 February 15, 2019 Aradigm Announces Plans for Reorganization under Chapter 11 of the U.S. Bankruptcy Code HAYWARD, Calif., February 15, 2019—(BUSINESSWIRE)—Aradigm Corporation (OTCQB: ARDM) (“Aradigm” or the “Company”) has filed for protection under Chapter 11 of the U.S. Bankruptcy Code in the Alameda County Court District to facilitate the sale of its assets. On February 11, |
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| February 16, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 13, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commis |
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| February 14, 2019 |
ARDM / Aradigm Corp. / Boxer Capital, LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ARADIGM CORPORATION (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505400 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| January 29, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 23, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| January 14, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 11, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| January 10, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 4, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Com |
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| January 8, 2019 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 2, 2019 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Com |
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| November 30, 2018 |
Form S-1 Table of Contents As filed with the Securities and Exchange Commission on November 30, 2018 File No. |
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| November 28, 2018 |
RW Aradigm Corporation 3929 Point Eden Way Hayward, CA 94545 November 28, 2018 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| November 15, 2018 |
Aradigm Announces Third Quarter 2018 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Third Quarter 2018 Financial Results Hayward, CA—November 15, 2018—Aradigm Corporation (NASDAQ: ARDM) (the “Company”) today announced financial results for the third quarter and nine months ended September 30, 2018. Third Quarter 2018 Financial Results The Company recorded $282,000 in revenue in the third quarter of 2018 compared with $2.7 million in revenue |
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| November 15, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 15, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction (Commission (I.R.S. Employ |
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| November 15, 2018 |
ARDM / Aradigm Corp. 10-Q (Quarterly Report) 10-Q 1 d598525d10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fro |
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| November 6, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| November 6, 2018 |
Form of 9.0% Convertible Senior Notes due 2021. EX-4.3 Exhibit 4.3 FACE OF PIK NOTE [Legend for Grifols & First Eagle Notes:] [THIS SECURITY AND THE COMMON STOCK ISSUABLE UPON CONVERSION OF THIS SECURITY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED EXCEPT IN ACCORDANCE WITH THE FOLLOWING SENTENCE. BY ITS ACQUISITION HEREOF OR OF A BEN |
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| November 1, 2018 |
EX-10.1 Exhibit 10.1 CHANGE OF CONTROL AGREEMENT This Change of Control Agreement (the “Agreement”) is made and entered into as of October 31, 2018, by and between Aradigm Corporation (the “Company”), and John M. Siebert, Ph.D. (the “Executive”). WHEREAS, the Company’s Board of Directors (the “Board”) has determined that it would be in the best interests of the Company and its stockholders to prov |
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| November 1, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| October 30, 2018 |
EX-1.1 Exhibit 1.1 SENIOR NOTE PURCHASE AGREEMENT THIS SENIOR NOTE PURCHASE AGREEMENT (this “Agreement”) is made as of October 25, 2018, by and between Aradigm Corporation, a California corporation (the “Company”) and Grifols Worldwide Operations Ltd., an entity formed under the laws of Ireland (the “Lender”). WHEREAS, the Lender desires to lend to the Company, and the Company desires to borrow fr |
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| October 30, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| October 30, 2018 |
Form of 9.0% Senior Promissory Note due 2021. EX-4.1 Exhibit 4.1 THIS SENIOR PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). NO SALE, PLEDGE OR DISPOSITION MAY BE EFFECTED EXCEPT IN COMPLIANCE WITH RULE 144 UNDER SAID ACT OR AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL FOR THE HOLDER, REASONABLY SATISFACTORY TO THE COMPANY, THAT SUCH REGISTRATION IS NOT REQUIRED |
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| September 17, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commi |
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| September 10, 2018 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (C |
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| August 16, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commissi |
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| August 14, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 14, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Comm |
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| August 14, 2018 |
Aradigm Announces Second Quarter 2018 Financial Results Press Release Exhibit 99.1 Aradigm Announces Second Quarter 2018 Financial Results Hayward, CA – August 14, 2018 – Aradigm Corporation (NASDAQ: ARDM) (the “Company”) today announced financial results for the second quarter and six months ended June 30, 2018. Second Quarter 2018 Financial Results The Company recorded $256,000 in revenue in the second quarter of 2018 compared with $7.7 million in re |
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| August 14, 2018 |
Aradigm Corporation Employee Stock Purchase Plan, as amended. EX-10.4 Exhibit 10.4 ARADIGM CORPORATION Employee Stock Purchase Plan Adopted April 16, 1996 Approved by the Shareholders on June 5, 1996 Amended by the Board of Directors on April 7, 1998 Approved by the Shareholders on May 15, 1998 Amended by the Board of Directors on February 2, 1999 Approved by the Shareholders on May 21, 1999 Amended by the Board of Directors on April 3, 2000 Approved by the |
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| August 14, 2018 |
ARDM / Aradigm Corp. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| July 17, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commi |
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| July 6, 2018 |
Certificate of Amendment of Amended and Restated Articles of Incorporation of Aradigm Corporation. EX-3.1 Exhibit 3.1 Certificate of Amendment of Amended and Restated Articles of Incorporation of Aradigm Corporation The undersigned hereby certifies that: 1. He is the Executive Chairman of the Board and Secretary of Aradigm Corporation, a California corporation (the “Corporation”). 2. Article III of the Amended and Restated Articles of Incorporation (the “Articles of Incorporation”) of the Corpo |
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| July 6, 2018 |
EX-99.1 Exhibit 99.1 July 6, 2018 Aradigm Announces the Appointment of Dr. Theresa Matkovits to the Board of Directors HAYWARD, Calif.—(BUSINESS WIRE) — Aradigm Corporation (NASDAQ: ARDM) (the “Company”) today announced the appointment of Dr. Theresa Matkovits to the Board, the Audit Committee of the Board and the Nominating and Corporate Governance Committee of the Board. Dr. Matkovits is Chief O |
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| July 6, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 29, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commi |
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| June 14, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commi |
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| June 6, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commission |
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| June 6, 2018 |
Change of Control Agreement between Aradigm Corporation and Juergen Froehlich, dated May 31, 2018. EX-10.2 Exhibit 10.2 CHANGE OF CONTROL AGREEMENT This Change of Control Agreement (the “Agreement”) is made and entered into as of May 31, 2018, by and between Aradigm Corporation (the “Company”), and Dr. Juergen Froehlich (the “Executive”). WHEREAS, the Company’s Board of Directors (the “Board”) has determined that it would be in the best interests of the Company and its stockholders to provide f |
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| June 6, 2018 |
Employment Agreement between Aradigm Corporation and Juergen Froehlich, dated May 31, 2018. EX-10.1 Exhibit 10.1 May 31, 2018 Dr. Juergen Froehlich 19 Prescott Street Newton, MA 02460 Dear Juergen, On behalf of Aradigm Corporation (the “Company”), once again, I am very pleased to offer you the position of Chief Medical Officer (“CMO”), on the following terms. Your employment shall commence today, May 31, 2018. POSITION You will serve in an executive capacity and shall perform the duties |
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| May 17, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 14, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commis |
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| May 15, 2018 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| May 15, 2018 |
ARDM / Aradigm Corp. DEFINITIVE PROXY STATEMENT Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 15, 2018 |
ARDM / Aradigm Corp. FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| May 15, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 14, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| May 15, 2018 |
Aradigm Announces First Quarter 2018 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces First Quarter 2018 Financial Results Hayward, CA – May 14, 2018 – Aradigm Corporation (NASDAQ: ARDM) (the “Company”) today announced financial results for the first quarter and three months ended March 31, 2018. First Quarter 2018 Financial Results The Company recorded $1.5 million in revenue in the first quarter of 2018 compared with $1.7 million in revenue |
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| May 7, 2018 |
Form of 9.0% Convertible Senior Notes due 2021. EX-4.3 Exhibit 4.3 FACE OF PIK NOTE THIS SECURITY AND THE COMMON STOCK ISSUABLE UPON CONVERSION OF THIS SECURITY HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED EXCEPT IN ACCORDANCE WITH THE FOLLOWING SENTENCE. BY ITS ACQUISITION HEREOF OR OF A BENEFICIAL INTEREST HEREIN, THE ACQUIRER: [(1) |
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| May 7, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commission F |
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| May 1, 2018 |
ARDM / Aradigm Corp. PRELIMINARY PROXY STATEMENT PRE 14A 1 d478104dpre14a.htm PRELIMINARY PROXY STATEMENT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential |
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| April 23, 2018 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Comm |
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| April 23, 2018 |
EX-4.1 Exhibit 4.1 ARADIGM CORPORATION SUPPLEMENTAL INDENTURE Dated as of April 18, 2018 to Indenture Dated as of April 25, 2016 U.S. Bank National Association Trustee SUPPLEMENTAL INDENTURE Supplemental Indenture (this “Supplemental Indenture”), dated as of April 18, 2018, between ARADIGM CORPORATION, a corporation organized under the laws of California (the “Company”), and U.S. BANK NATIONAL ASS |
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| April 20, 2018 |
ARDM / Aradigm Corp. / First Eagle Investment Management, LLC - SCHEDULE 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* Aradigm Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) David O’Connor First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, New York 10105 (212) 698-3300 (Name, Address and Telep |
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| April 18, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 13, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Comm |
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| April 18, 2018 |
Form of 9.0% Senior Promissory Note due 2021. EX-4.1 EXHIBIT 4.1 THIS SENIOR PROMISSORY NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”). NO SALE, PLEDGE OR DISPOSITION MAY BE EFFECTED EXCEPT IN COMPLIANCE WITH RULE 144 UNDER SAID ACT OR AN EFFECTIVE REGISTRATION STATEMENT RELATED THERETO OR AN OPINION OF COUNSEL FOR THE HOLDER, REASONABLY SATISFACTORY TO THE COMPANY, THAT SUCH REGISTRATION IS NOT REQUIRED |
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| April 18, 2018 |
EX-1.1 EXHIBIT 1.1 SENIOR NOTE PURCHASE AGREEMENT THIS SENIOR NOTE PURCHASE AGREEMENT (this “Agreement”) is made as of April 13, 2018, by and between Aradigm Corporation, a California corporation (the “Company”) and the lenders named on Schedule A hereto (each, a “Lender,” and, collectively, the “Lenders”). WHEREAS, each Lender desires to lend to the Company, and the Company desires to borrow from |
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| April 17, 2018 |
ARDM / Aradigm Corp. / First Eagle Investment Management, LLC - SCHEDULE 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* Aradigm Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) David O’Connor First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, New York 10105 (212) 698-3300 (Name, Address and Telep |
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| March 28, 2018 |
Employment Agreement between Aradigm Corporation and John Siebert, March 22, 2018 EX-10.1 Exhibit 10.1 March 22, 2018 John Siebert 78-6827 Kuhinanui Kailua Kona, HA 96740 Dear John, On behalf of Aradigm Corporation (the “Company”), we are very pleased to offer you the position of Interim Principal Executive Officer and Acting Principal Financial Officer, on the following terms: START DATE: Your employment shall commence effective as of February 12, 2018. POSITION: You will serv |
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| March 28, 2018 |
8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of inc |
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| March 23, 2018 |
ARDM / Aradigm Corp. FORM 10-K (Annual Report) Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D. |
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| March 23, 2018 |
Aradigm Announces Fourth Quarter 2017 and Full Year Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Fourth Quarter 2017 and Full Year Financial Results Subsequent Highlights • Cash and cash equivalents of $7.1 million expected to be sufficient to fund operations for Q1 2018; temporary measures implemented to preserve cash resources • Focus on European Approval for Linhaliq – Marketing Authorization Application for EU filed • Patients and patient advocacy gr |
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| March 23, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 23, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Commi |
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| March 12, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 6, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commi |
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| March 5, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction (Commission (I.R.S. |
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| March 2, 2018 |
Form S-8 As filed with the Securities and Exchange Commission on March 1, 2018 Registration No. |
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| February 28, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (C |
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| February 14, 2018 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 9, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Co |
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| February 14, 2018 |
ARDM / Aradigm Corp. / GREAT POINT PARTNERS LLC Passive Investment SC 13G/A 1 c90486sc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Aradigm Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 038505400 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| February 14, 2018 |
ARDM / Aradigm Corp. / Boxer Capital, LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ARADIGM CORPORATION (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505400 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 5, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Aradigm Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) David O'Connor First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, New York 10105 (212) 698-3300 (Name, Addre |
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| January 30, 2018 |
ARDM / Aradigm Corp. FORM 8-K (Current Report) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 29, 2018 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Co |
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| January 30, 2018 |
Aradigm Receives Complete Response Letter from the FDA for Linhaliq NDA EX-99.1 Exhibit 99.1 Aradigm Receives Complete Response Letter from the FDA for Linhaliq NDA Hayward, CA ? January 29, 2018 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announces that it received a Complete Response Letter (CRL) from the US Food and Drug Administration (FDA) regarding its New Drug Application (NDA) for Linhaliq? as a treatment for non-cystic fibrosis bronchiectasis ( |
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| December 21, 2017 |
ARDM / Aradigm Corp. AMENDMENT NO. 1 TO FORM S-1 Amendment No. 1 to Form S-1 Table of Contents As filed with the Securities and Exchange Commission on December 21, 2017 File No. 333-221352 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ARADIGM CORPORATION (Exact name of registrant as specified in its charter) California 2834 94-3133088 (S |
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| December 12, 2017 |
ARDM / Aradigm Corp. 8-K (Current Report) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 6, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| December 11, 2017 |
EX-1 Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G with respect to the shares of Aradigm Corporation, Common Stock, no par value, is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, and that this Agreement shall be included as an Exhibit to the Schedule 13G and each such amendment. |
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| December 11, 2017 |
ARDM / Aradigm Corp. / Boxer Capital, LLC - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ARADIGM CORPORATION (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505400 (CUSIP Number) November 30, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| November 6, 2017 |
Aradigm Announces Third Quarter 2017 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Third Quarter 2017 Financial Results Hayward, CA ? November 2, 2017 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced financial results for the third quarter and nine months ended September 30, 2017. The Company recorded $2.7 million in revenue in the third quarter of 2017 compared with $50,000 in revenue in the third quarter of 2016. The C |
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| November 6, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 2, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Co |
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| November 3, 2017 |
Form S-1 Table of Contents As filed with the Securities and Exchange Commission on November 3, 2017 File No. |
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| November 3, 2017 |
ARDM / Aradigm Corp. FORM 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| November 3, 2017 |
EX-3.13 Exhibit 3.13 FIFTH AMENDMENT TO LEASE This Fifth Amendment to Lease (the “Amendment”) is made and entered into as of July 18, 2017, by and between HAYWARD POINT EDEN I LIMITED PARTNERSHIP, a Delaware limited partnership (“Landlord”), and ARADIGM CORPORATION, a California corporation (“Tenant”). R E C I T A L S : A. Landlord, as successor in interest to Britannia Point Eden, LLC, and Tenant |
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| August 14, 2017 |
Aradigm Announces Second Quarter 2017 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Second Quarter 2017 Financial Results Hayward, CA ? August 10, 2017 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced financial results for the second quarter and six months ended June 30, 2017. The Company recorded $7.7 million in revenue in the second quarter of 2017 compared with $14,000 in revenue in the second quarter of 2016. The Comp |
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| August 14, 2017 |
Aradigm 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Commissio |
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| August 11, 2017 |
ARDM / Aradigm Corp. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| July 7, 2017 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 7, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction (Commission (I.R.S. Emplo |
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| July 7, 2017 |
Inhaled Liposomal Ciprofloxacin In Patients With Bronchiectasis And Chronic EX-99.1 Exhibit 99.1 Inhaled Liposomal Ciprofloxacin In Patients With Bronchiectasis And Chronic Pseudomonas Aeruginosa Infection: Results From Two Parallel Phase III Trials (ORBIT-3 and ORBIT-4) C. Haworth1, A. Wanner2, J. Froehlich3, T. O?Neal3, A. Davis4, I. Gonda3, A. O?Donnell5 1Papworth Hospital NHS Foundation Trust - Cambridge/GB, 2University of Miami School of Medicine - Miami, FL/US, 3Ara |
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| June 5, 2017 |
Submission of Matters to a Vote of Security Holders Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 1, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commis |
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| May 22, 2017 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 22, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction (Commission (I.R.S. Employer o |
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| May 22, 2017 |
EX-99.1 Inhaled Liposomal Ciprofloxacin in Patients With Non-Cystic Fibrosis Bronchiectasis and Chronic Pseudomonas aeruginosa: Results From Two Parallel Phase III Trials (ORBIT-3 and -4) C.S. Haworth1, A. Wanner2, J. Froehlich3, T. O'Neal3, A. Davis4, I. Gonda3, A. O'Donnell5 1Cambridge Centre For Lung Infection, Papworth Hospital, Cambridge, UK; 2University of Miami School of Medicine, Miami, FL |
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| May 15, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 15, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| May 15, 2017 |
Aradigm Announces First Quarter 2017 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces First Quarter 2017 Financial Results Hayward, CA May 15, 2017 Aradigm Corporation (NASDAQ: ARDM) (the Company) today announced financial results for the first quarter and three months ended March 31, 2017. First Quarter 2017 Financial Results The Company recorded $1.7 million in revenue in the first quarter of 2017 compared with $6,000 in revenue in the |
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| May 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q 10-Q 1 d347660d10q.htm FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period fr |
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| April 19, 2017 |
DEFA14A 1 d205986ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as |
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| April 19, 2017 |
Aradigm Corporation Employee Stock Purchase Plan, as amended. DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 10, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 4, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commi |
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| April 4, 2017 |
EX-12 Exhibit 12 JOINT FILING AGREEMENT The persons below hereby agree that the Schedule 13D to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13D, shall be filed jointly on behalf of each of them. |
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| April 4, 2017 |
ARDM / Aradigm Corp. / Grifols SA - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Amendment No. 1) Under the Securities Exchange Act of 1934* ARADIGM CORPORATION (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505400 (CUSIP Number) Grifols, S.A. Avinguda de la Generalitat, 152-158 Parc de Negocis Can Sant Joan Sant Cugat del Valles 08174, Barcelona, Spain |
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| March 30, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 28, 2017 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction (Commission (I.R.S. Employer of |
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| March 30, 2017 |
Aradigm Announces Fourth Quarter 2016 and Full Year Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Fourth Quarter 2016 and Full Year Financial Results Hayward, CA ? March 28, 2017 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced financial results for the fourth quarter and full year ended December 31, 2016. Fourth Quarter 2016 Results The Company recorded $125,000 in revenue in the fourth quarter of 2016 compared with $35,000 in revenue |
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| March 30, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K 10-K 1 d325029d10k.htm FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 Or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from t |
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| February 14, 2017 |
ARDM / Aradigm Corp. / GREAT POINT PARTNERS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Aradigm Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 038505400 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 14, 2017 |
ARDM / Aradigm Corp. / Boxer Capital, LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* ARADIGM CORPORATION (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| December 6, 2016 |
SC 13D/A 1 f18747561.htm SCHEDULE 13D/A, #3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Aradigm Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) Mark Goldstein First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, New York 1 |
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| December 2, 2016 |
EX-99.1 Exhibit 99.1 Aradigm Announces Top-Line Results from Two Phase 3 Studies Evaluating Pulmaquin for the Chronic Treatment of Non-Cystic Fibrosis Bronchiectasis Patients with Lung Infections with Pseudomonas aeruginosa Company to host conference call at 4:30 pm ET today Hayward, CA ? December 1, 2016 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced top-line results from it |
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| December 2, 2016 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 1, 2016 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Co |
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| November 10, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| November 9, 2016 |
Aradigm Announces Third Quarter 2016 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Third Quarter 2016 Financial Results Hayward, CA ? November 9, 2016 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced financial results for the third quarter and nine months ended September 30, 2016. Third Quarter 2016 Financial Results The Company recorded $50,000 in revenue in the third quarter of 2016 compared with $4.7 million in revenu |
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| November 9, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 9, 2016 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Com |
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| August 16, 2016 |
Aradigm FORM 10-K/A (Annual Report) Form 10-K/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D. |
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| August 16, 2016 |
Aradigm FORM 10-K/A (Annual Report) Form 10-K/A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D. |
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| August 16, 2016 |
CORRESP Hogan Lovells US LLP 3 Embarcadero Center Suite 1500 San Francisco, CA 94111 T +1 415 374 2300 F +1 415 374 2499 www. |
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| August 16, 2016 |
CORRESP Hogan Lovells US LLP 3 Embarcadero Center Suite 1500 San Francisco, CA 94111 T +1 415 374 2300 F +1 415 374 2499 www. |
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| August 11, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| August 10, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2016 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Comm |
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| August 10, 2016 |
Aradigm Announces Second Quarter 2016 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Second Quarter 2016 Financial Results Hayward, CA August 10, 2016 Aradigm Corporation (NASDAQ: ARDM) (the Company) today announced financial results for the second quarter and six months ended June 30, 2016. Second Quarter 2016 Financial Results The Company recorded $14,000 in revenue in the second quarter of 2016 compared with $10 million in revenue in |
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| August 9, 2016 |
S-8 POS As filed with the Securities and Exchange Commission on August 9, 2016 Registration No. |
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| July 7, 2016 |
Certificate of Amendment of Amended and Restated Articles of Incorporation of the Company. EX-3.14 Exhibit 3.14 Certificate of Amendment of Amended and Restated Articles of Incorporation of Aradigm Corporation The undersigned hereby certify that: 1. They are the President and Secretary, respectively, of Aradigm Corporation, a California corporation (the ?Corporation?). 2. Article III of the Amended and Restated Articles of Incorporation (the ?Articles of Incorporation?) of this corporat |
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| July 7, 2016 |
Aradigm AMENDMENT NO. 2 TO FORM S-1 Amendment No. 2 to Form S-1 As filed with the Securities and Exchange Commission on July 7, 2016 Registration Statement No. 333-211329 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 2 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ARADIGM CORPORATION (Exact name of registrant as specified in its charter) California 2834 94-3133088 (State |
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| July 7, 2016 |
CORRESP ARADIGM CORPORATION 3929 Point Eden Way Hayward, Califronia 94545 July 7, 2016 Via EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street N. |
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| June 17, 2016 |
Aradigm AMENDMENT NO. 1 TO FORM S-1 Amendment No. 1 to Form S-1 Table of Contents As filed with the Securities and Exchange Commission on June 17, 2016 Registration Statement No. 333-211329 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Amendment No. 1 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ARADIGM CORPORATION (Exact name of registrant as specified in its charter) California 2834 |
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| June 17, 2016 |
CORRESP Hogan Lovells US LLP 3 Embarcadero Center Suite 1500 San Francisco, CA 94111 T +1 415 374 2300 F +1 415 374 2499 www. |
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| June 10, 2016 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 9, 2016 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commis |
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| May 16, 2016 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 12, 2016 |
Form S-1 Table of Contents As filed with the Securities and Exchange Commission on May 12, 2016 Registration Statement No. |
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| May 12, 2016 |
EX-25.1 Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ? Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 31-0841368 I.R.S. Employer |
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| May 10, 2016 |
Aradigm AMENDMENT NO. 2 TO FORM 10-K (Annual Report) Amendment No. 2 to Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K/A (Amendment No. 2) (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to |
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| May 10, 2016 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 10, 2016 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| May 10, 2016 |
Aradigm Announces First Quarter 2016 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces First Quarter 2016 Financial Results Hayward, CA ? May 10, 2016 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced financial results for the first quarter and three months ended March 31, 2016. Liquidity and Capital Resources On April 22, 2016, the Company announced the pricing of $23 million of its senior convertible notes due 2021 and rela |
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| May 10, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| May 9, 2016 |
Aradigm AMENDMENT NO. 1 TO FORM 10-K (Annual Report) Amendment No. 1 to Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 Or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transiti |
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| May 6, 2016 |
PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 28, 2016 |
Amendment to Governance Agreement, dated April 21, 2016. Exhibit 10.6 AMENDMENT TO GOVERNANCE AGREEMENT This Amendment to Governance Agreement (this “Amendment”) is made and entered into as of April 21, 2016, effective as of the date hereof, by and between Aradigm Corporation (the “Company”), and Grifols, S.A. (“Grifols”). RECITALS WHEREAS, the Company and Grifols are parties to that certain Governance Agreement, dated August 27, 2013 (the “Agreement”). |
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| April 28, 2016 |
Escrow Agreement, dated April 25, 2016. EX-10.5 Exhibit 10.5 ESCROW AGREEMENT THIS ESCROW AGREEMENT, dated as of April 25, 2016 (“Agreement”), is by and between Aradigm Corporation, a California corporation (“Depositor”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association, in its capacity as Escrow Agent hereunder (“Escrow Agent”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association, in its capacity as Trust |
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| April 28, 2016 |
Amendment No. 1 to Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2016 (April 21, 2016) Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133 |
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| April 28, 2016 |
EX-10.2 Exhibit 10.2 ARADIGM CORPORATION AND U.S. BANK NATIONAL ASSOCIATION, as Trustee INDENTURE Dated as of April 25, 2016 9.0% Convertible Senior Notes due 2021 TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS Section 1.01. Definitions 1 Section 1.02. References to Interest 12 ARTICLE 2 ISSUE, DESCRIPTION, EXECUTION, REGISTRATION AND EXCHANGE OF NOTES Section 2.01. Designation and Amount 12 Section |
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| April 28, 2016 |
Securities Purchase Agreement, dated as of April 21, 2016. EX-10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT by and between ARADIGM CORPORATION and THE PURCHASERS NAMED ON SCHEDULES A and B HERETO Dated as of April 21, 2016 Table of Contents Page ARTICLE I DEFINITIONS 1 1.1 Defined Terms 1 1.2 Other Terms 7 1.3 Interpretation 7 ARTICLE II PURCHASE AND SALE 8 2.1 Purchase and Sale of Securities 8 2.2 Consideration for Securities 8 2.3 Closing 8 2.4 Nature |
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| April 27, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2016 (April 21, 2016) Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (state or other jurisdiction of incorporatio |
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| April 27, 2016 |
EX-99.1 Exhibit 99.1 Aradigm Corporation Announces First Closing of Private Placement Offering of $23 Million Senior Convertible Notes Due 2021 HAYWARD, CA ? April 26, 2016 ? Aradigm Corporation (Nasdaq: ARDM) (?Aradigm? or the ?Company?) announced today the first closing of its previously announced private placement of $23,000,000 aggregate principal amount of its senior convertible notes due 202 |
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| April 27, 2016 |
ARDM / Aradigm Corp. / First Eagle Investment Management, LLC - AMENDMENT NO. 2 Activist Investment SC 13D/A 1 a17001552.htm AMENDMENT NO. 2 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Aradigm Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) Mark Goldstein First Eagle Investment Management, LLC 1345 Avenue of the Americas New York, New York 1010 |
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| April 25, 2016 |
Aradigm Corporation Prices Private Placement of Senior Notes EX-99.1 Exhibit 99.1 Aradigm Corporation Prices Private Placement of Senior Notes HAYWARD, CA April 22, 2016 Aradigm Corporation (Nasdaq: ARDM) (Aradigm or the Company) announced today the pricing of $23 million of its senior convertible notes due 2021 and related warrants to purchase 263,436 shares of the Companys common stock in a private placement conducted pursuant to Regulation D und |
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| April 25, 2016 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2016 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (state or other jurisdiction of incorporation) (Comm |
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| March 30, 2016 |
Form of Amendment to the Stock Option Agreement. EX-10.35 Exhibit 10.35 AMENDMENT TO THE STOCK OPTION AGREEMENT This Amendment to the Stock Option Agreement (this “Amendment”) is made and entered into effective as of November 12, 2015 by and between Aradigm Corporation, a California corporation (the “Company”), and [NAME] (the “Participant”). Defined terms used herein but not defined herein shall have the meanings ascribed to them in the Stock O |
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| March 30, 2016 |
Supply Agreement by and between the Company and Grifols, S.A., dated October 22, 2015. EX-10.36 Exhibit 10.36 SUPPLY AGREEMENT This Supply Agreement (“Agreement”) is made this 22nd day of October, 2015 (“Effective Date”) by and between Aradigm Corporation, a California corporation having a principal place of business at 3929 Point Eden Way, Hayward, CA 94545 (“Aradigm”), and Grifols, S.A., a company (sociedad an6nima) organized under the laws of Spain having a principal place of bus |
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| March 30, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D. |
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| March 16, 2016 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 15, 2016 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Comm |
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| March 16, 2016 |
Aradigm Announces Fourth Quarter 2015 and Full Year Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Fourth Quarter 2015 and Full Year Financial Results Hayward, CA ? March 15, 2016 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced financial results for the fourth quarter and full year ended December 31, 2015. Fourth Quarter 2015 Results Since the Company has utilized the full amount of the $65 million of Grifols-funded budget provided und |
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| February 16, 2016 |
ARDM / Aradigm Corp. / GREAT POINT PARTNERS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Aradigm Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 038505400 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 16, 2016 |
ARDM / Aradigm Corp. / Boxer Capital, LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ARADIGM CORPORATION (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| November 12, 2015 |
Aradigm Announces Third Quarter 2015 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Third Quarter 2015 Financial Results Hayward, CA ? November 11, 2015 ? Aradigm Corporation (Nasdaq:ARDM) (the ?Company?) today announced financial results for the third quarter and nine months ended September 30, 2015. Total revenue was $4.7 million for the third quarter of 2015, compared with $6.6 million in revenue for the third quarter of 2014. The decreas |
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| November 12, 2015 |
Board Observer Rights Agreement, dated July 20, 2015, between the Company and Grifols, S.A. Exhibit 10.1 Grifols S.A. 24 Avda. Generalitat, 152- 158 Polfgono Can San Joan 08174 - Sant Cugat del Valles Spain www.grifols.com July 20, 2015 Aradigm Corporation 3929 Point Eden Way Hayward, CA 94545 Attention: Igor Gonda Re: Aradigm Corporation Board Observer Rights Agreement Dear Dr. Gonda, This letter agreement will confirm our agreement in connect ion to the composition of the board of dire |
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| November 12, 2015 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 11, 2015 Aradigm Corporation (Exact name of registrant as specified in its charter) California 01-36480 94-3133088 (State or other jurisdiction of incorporation) (Co |
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| November 12, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| September 4, 2015 |
Certificate of Amendment to the Amended and Restated Bylaws of the Company. EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED BYLAWS OF ARADIGM CORPORATION The first sentence of Section 19, Number of Directors, of Article IV, Board of Directors, is hereby amended as follows: ?Section 19. Number of Directors. The authorized number of directors of the corporation shall be not less than a minimum of five (5) nor more than a maximum of nine (9) (which maximu |
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| September 4, 2015 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 1, 2015 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction (Commission (I.R.S. |
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| August 14, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 13, 2015 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Com |
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| August 14, 2015 |
Aradigm Announces Second Quarter 2015 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Second Quarter 2015 Financial Results Hayward, CA ? August 13, 2015 ? Aradigm Corporation (Nasdaq:ARDM) (the ?Company?) today announced financial results for the second quarter and six months ended June 30, 2015. Total revenue was $10.0 million for the second quarter of 2015, compared with $12.2 million in revenue for the second quarter of 2014. The decrease |
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| August 13, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| July 10, 2015 |
Form of Stock Option Agreement pursuant to Aradigm Corporation 2015 Equity Incentive Plan. EX-99.2 Exhibit 99.2 ARADIGM CORPORATION 2015 EQUITY INCENTIVE PLAN STOCK OPTION AGREEMENT You (?you? or ?Participant?) have been awarded an Option to purchase Shares granted under the Aradigm Corporation 2015 Equity Incentive Plan (the ?Plan?) and subject to the terms and conditions of the Plan, this Stock Option Agreement (the ?Option Agreement?), including that you consent to electronic deliver |
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| July 10, 2015 |
Form S-8 As filed with the Securities and Exchange Commission on July 10, 2015 Registration No. |
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| May 18, 2015 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2015 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction (Commission (I.R.S. Emplo |
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| May 11, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| May 11, 2015 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 11, 2015 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction (Commission (I.R.S. Emplo |
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| May 11, 2015 |
Aradigm Announces First Quarter 2015 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces First Quarter 2015 Financial Results Hayward, CA ? May 11, 2015 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced financial results for the first quarter and three months ended March 31, 2015. Total revenue was $8.8 million for the first quarter of 2015, compared with $6.6 million in revenue for the first quarter of 2014. The increase in re |
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| April 9, 2015 |
Aradigm Corporation Up to 3,858,172 Shares of Common Stock Prospectus Filed Pursuant to Rule 424(b)(3) Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. |
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| April 9, 2015 |
Aradigm Corporation Up to 1,250,000 Shares of Common Stock Prospectus Filed Pursuant to Rule 424(b)(3) Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. |
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| March 20, 2015 |
Aradigm POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S-1 ON FORM S-3 Post-Effective Amendment No. 2 to Form S-1 on Form S-3 Table of Contents As filed with the Securities and Exchange Commission on March 20, 2015 Registration No. 333-191469 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to Form S-1 on Form S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aradigm Corporation (Exact name of registrant |
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| March 20, 2015 |
Aradigm POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S-1 ON FORM S-3 Post-Effective Amendment No. 2 to Form S-1 on Form S-3 Table of Contents As filed with the Securities and Exchange Commission on March 20, 2015 Registration No. 333-193751 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to Form S-1 on Form S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aradigm Corporation (Exact name of registrant |
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| March 19, 2015 |
Form of Stock Option Agreement pursuant to Aradigm Corporation 2015 Equity Incentive Plan. Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 19, 2015 |
Aradigm DEFINITIVE ADDITIONAL MATERIALS Definitive Additional Materials UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 18, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K 10-K 1 d851080d10k.htm FORM 10-K Table of Contents Index to Financial Statements UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 Or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Fo |
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| March 18, 2015 |
List of Subsidiaries of the Company. EXHIBIT 21.1 LIST OF SUBSIDIARIES OF ARADIGM CORPORATION Name of Entity Jurisdiction of Organization Aradigm Royalty Financing LLC Delaware, United States Aradigm Limited United Kingdom Aradigm Australia Pty Ltd Australia |
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| March 17, 2015 |
Aradigm FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 17, 2015 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Comm |
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| March 17, 2015 |
Aradigm Announces Fourth Quarter 2014 and Full Year Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Fourth Quarter 2014 and Full Year Financial Results Hayward, CA ? March 17, 2015 ? Aradigm Corporation (NASDAQ: ARDM) (the ?Company?) today announced financial results for the fourth quarter and full year ended December 31, 2014. Fourth Quarter 2014 Results The Company recorded $8.1 million in revenue in the fourth quarter of 2014 compared with $4.6 million i |
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| February 17, 2015 |
ARDM / Aradigm Corp. / GREAT POINT PARTNERS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Aradigm Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 038505400 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 2, 2015 |
ARDM / Aradigm Corp. / Boxer Capital, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ARADIGM CORPORATION (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 038505301 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| November 10, 2014 |
ARADIGM CORPORATION Up to 124,193,546 Shares of Common Stock Prepared by R.R. Donnelley Financial - PROSPECTUS SUPPLEMENT NO.2 FILED PURSUANT TO RULE 424(B)(3) AND (C) Table of Contents Prospectus Supplement No. 2 (To Prospectus dated May 16, 2014) Filed Pursuant to Rule 424(b)(3) and (c) SEC File No. 333-193751 ARADIGM CORPORATION Up to 124,193,546 Shares of Common Stock This is a supplement to the prospectus, dated May 16, 2014 (as supplemented, the “Pros |
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| November 10, 2014 |
ARADIGM CORPORATION Up to 50,000,000 Shares of Common Stock Prepared by R.R. Donnelley Financial - PROSPECTUS SUPPLEMENT NO.2 FILED PURSUANT TO RULE 424(B)(3) AND (C) Table of Contents Prospectus Supplement No. 2 (To Prospectus dated May 16, 2014) Filed Pursuant to Rule 424(b)(3) and (c) SEC File No. 333-191469 ARADIGM CORPORATION Up to 50,000,000 Shares of Common Stock This is a supplement to the prospectus, dated May 16, 2014 (as supplemented, the “Prosp |
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| November 7, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| November 7, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 7, 2014 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of incorporation) (Commiss |
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| November 7, 2014 |
Aradigm Announces Third Quarter 2014 Financial Results EX-99.1 Exhibit 99.1 Aradigm Announces Third Quarter 2014 Financial Results Hayward, CA – November 7, 2014 – Aradigm Corporation (Nasdaq: ARDM) (the “Company”) today announced financial results for the third quarter and nine months ended September 30, 2014. Total revenue was approximately $6.6 million for the third quarter of 2014 compared with revenue of approximately $4.6 million for the third q |
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| August 11, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . |
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| August 11, 2014 |
ARADIGM CORPORATION Up to 50,000,000 Shares of Common Stock Prepared by R.R. Donnelley Financial - Prospectus Supplement No.1 Filed Pursuant to Rule 424(b)(3) Table of Contents Prospectus Supplement No. 1 (To Prospectus dated May 16, 2014) Filed Pursuant to Rule 424(b)(3) and (c) SEC File No. 333-191469 ARADIGM CORPORATION Up to 50,000,000 Shares of Common Stock This is a supplement to the prospectus, dated May 16, 2014 forming a part of the Registration S |
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| August 11, 2014 |
ARADIGM CORPORATION Up to 124,193,546 Shares of Common Stock Prepared by R.R. Donnelley Financial - Prospectus Supplement No.1 Filed Pursuant to Rule 424(b)(3) and (c) Table of Contents Prospectus Supplement No. 1 (To Prospectus dated May 16, 2014) Filed Pursuant to Rule 424(b)(3) and (c) SEC File No. 333-193751 ARADIGM CORPORATION Up to 124,193,546 Shares of Common Stock This is a supplement to the prospectus, dated May 16, 2014 forming a part of the Regis |
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| August 8, 2014 |
Prepared by R.R. Donnelley Financial - EX-99.1 Exhibit 99.1 Aradigm Announces Second Quarter 2014 Financial Results NASDAQ listing achieved upon completion of reverse split Hayward, CA – August 7, 2014 – Aradigm Corporation (Nasdaq:ARDM) (the “Company”) today announced financial results for the second quarter and six months ended June 30, 2014. Total revenue was $12.2 million for the second quarte |
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| August 8, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d771121d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 7, 2014 Aradigm Corporation (Exact name of registrant as specified in its charter) California 001-36480 94-3133088 (State or other jurisdiction of |
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| June 9, 2014 |
Aradigm Announces NASDAQ Listing Shares to Begin Trading on Wednesday, June 11, 2014 EX-99.1 Exhibit 99.1 Aradigm Announces NASDAQ Listing Shares to Begin Trading on Wednesday, June 11, 2014 Hayward, CA – June 9, 2014 – Aradigm Corporation (“Aradigm” or the “Company”) (OTC BB:ARDMD.OB) is pleased to announce that its common shares have been approved for listing on the NASDAQ Capital Market. Aradigm expects its shares to begin trading on NASDAQ on Wednesday, June 11, 2014. The Comp |
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| June 9, 2014 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 9, 2014 Aradigm Corporation (Exact Name of Registrant as Specified in its Charter) California 001-36480 94-3133088 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 5, 2014 |
Prepared by R.R. Donnelley Financial - Form 8-A 12(b) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Aradigm Corporation (Exact Name of Registrant as Specified in its Charter) California 94-3133088 (State of Incorporation or Organization) (IR |
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| May 16, 2014 |
Aradigm Corporation Up to 50,000,000 Shares of Common Stock Prepared by R.R. Donnelley Financial - 424B3 Table of Contents Index to Financial Statements Filed Pursuant to Rule 424(b)(3) Registration No. 333-191469 PROSPECTUS Aradigm Corporation Up to 50,000,000 Shares of Common Stock This prospectus relates to the resale of up to 50,000,000 shares of our common stock, no par value per share, being offered by the selling shareholders identified in this pros |
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| May 16, 2014 |
Aradigm Corporation Up to 124,193,546 Shares of Common Stock Prepared by R.R. Donnelley Financial - 424B3 Table of Contents Index to Financial Statements Filed Pursuant to Rule 424(b)(3) Registration No. 333-193751 PROSPECTUS Aradigm Corporation Up to 124,193,546 Shares of Common Stock This prospectus relates to the resale of up to 124,193,546 shares of our common stock, no par value per share, being offered by the selling shareholders identified in this pr |
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| May 14, 2014 |
EX-99.1 Exhibit 99.1 Aradigm Announces First Quarter 2014 Financial Results Completion of Royalty Assignment Eliminates All Debt Hayward, CA May 14, 2014 Aradigm Corporation (OTC BB: ARDM.OB) (the Company) today announced financial results for the first quarter and three months ended March 31, 2014. Total revenue was $6.6 million for the first quarter of 2014, compared with $0.3 million in r |
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| May 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q 10-Q 1 d705779d10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to |
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| May 14, 2014 |
Certificate of Amendment to Amended and Restated Articles of Incorporation. Exhibit 3.1 Certificate of Amendment to Amended and Restated Articles of Incorporation of The undersigned certify that: 1. They are President and Secretary, respectively, of Aradigm Corporation, a California corporation (the “Corporation”). 2. Article III of the Amended and Restated Articles of Incorporation (the “Articles of Incorporation”) of this corporation is amended to read in full as follow |
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| May 14, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 14, 2014 Aradigm Corporation (Exact name of registrant as specified in its charter) California 0-28402 94-3133088 (State or other jurisdiction of incorporation) (Commissi |
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| May 13, 2014 |
Form S-8 As filed with the Securities and Exchange Commission on May 13, 2014 Registration No. |
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| May 1, 2014 |
Prepared by R.R. Donnelley Financial - EX-99.1 Exhibit 99.1 Aradigm Corporation Announces the Dosing of the First Patient in Phase III Study of Pulmaquin in Non-Cystic Fibrosis Bronchiectasis (ORBIT-3) Aradigm’s Pulmaquin - A Potential New Therapy to Treat an Unmet Medical Need in Patients with Severe Respiratory Disease Hayward, CA – April 30, 2014 – Aradigm Corporation (OTC BB:ARDM.OB) (“Aradigm |
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| May 1, 2014 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 30, 2014 Aradigm Corporation (Exact name of registrant as specified in its charter) California 0-28402 94-3133088 (State or other jurisdiction (Commission (I.R.S. Employer of in |
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| April 22, 2014 |
Submission of Matters to a Vote of Security Holders - FORM 8-K Prepared by R.R. Donnelley Financial - Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 18, 2014 Aradigm Corporation (Exact name of registrant as specified in its charter) California 000-28402 94-3133088 (State or oth |
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| April 22, 2014 |
Aradigm Corporation Up to 50,000,000 Shares of Common Stock Prepared by R.R. Donnelley Financial - Prospectus filed Pursuant to Rule 424(b)3 Table of Contents Index to Financial Statements Filed Pursuant to Rule 424(b)(3) Registration No. 333-191469 PROSPECTUS Aradigm Corporation Up to 50,000,000 Shares of Common Stock This prospectus relates to the resale of up to 50,000,000 shares of our common stock, no par value per share, being offered by the selling |
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| April 22, 2014 |
Aradigm Corporation Up to 124,193,546 Shares of Common Stock 424B3 1 d708010d424b3.htm PROSPECTUS FILED PURSUANT TO RULE 424(B)3 Table of Contents Index to Financial Statements Filed Pursuant to Rule 424(b)(3) Registration No. 333-193751 PROSPECTUS Aradigm Corporation Up to 124,193,546 Shares of Common Stock This prospectus relates to the resale of up to 124,193,546 shares of our common stock, no par value per share, being offered by the selling shareholder |
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| April 16, 2014 |
Prepared by R.R. Donnelley Financial - Post Effective Amendment #1 Table of Contents Index to Financial Statements As filed with the Securities and Exchange Commission on April 15, 2014 Registration No. 333-193751 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aradigm Corpora |
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| April 15, 2014 |
Prepared by R.R. Donnelley Financial - Post Effective Amendment #1 Table of Contents Index to Financial Statements As filed with the Securities and Exchange Commission on April 15, 2014 Registration No. 333-191469 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post Effective Amendment No. 1 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Aradigm Corpora |
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| March 28, 2014 |
Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 18, 2014 |
Preliminary Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 13, 2014 |
EXHIBIT 21.1 LIST OF SUBSIDIARIES OF ARADIGM CORPORATION Name of Entity Jurisdiction of Organization Aradigm Royalty Financing LLC Aradigm Limited Delaware, United States United Kingdom |
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| March 13, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K Prepared by R.R. Donnelley Financial - Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 13, 2014 Aradigm Corporation (Exact name of registrant as specified in its charter) California 0-28402 94-3133088 (State or other |
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| March 13, 2014 |
Aradigm Announces Fourth Quarter 2013 and Full Year Financial Results Prepared by R.R. Donnelley Financial - EX-99.1 Exhibit 99.1 Aradigm Announces Fourth Quarter 2013 and Full Year Financial Results Hayward, CA – March 13, 2014 – Aradigm Corporation (OTC BB: ARDM.OB) (the “Company”) today announced financial results for the fourth quarter and full year ended December 31, 2013. Fourth Quarter 2013 Results The Company recorded $4.6 million in revenue in the fourth qu |
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| March 13, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K Prepared by R.R. Donnelley Financial - 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition pe |
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| March 13, 2014 |
Form of Non-statutory Stock Option Agreement, by and between the Company and Igor Gonda. Prepared by R.R. Donnelley Financial - EX-10.52 Exhibit 10.52 ARADIGM CORPORATION STOCK OPTION AGREEMENT Igor Gonda (Optionee): On February 13, 2014 (the “Grant Date”) Aradigm Corporation (the “Company”) grants to you, the optionee named above, an option to purchase shares of the common stock of the Company (“Common Stock”). This option is not intended to qualify as an “incentive stock option” wit |
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| March 10, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 4, 2014 Aradigm Corporation (Exact Name of Registrant as Specified in its Charter) California 000-28402 94-3133088 (State or Other Jurisdiction of Incorporation) (Commi |
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| March 10, 2014 |
EX-10.1 Exhibit 10.1 ASSIGNMENT, ASSUMPTION, WAIVER AND CONSENT February 28, 2014 This Assignment, Assumption, Waiver and Consent (this “Agreement”) is entered into by and among ARADIGM ROYALTY FINANCING LLC, a Delaware limited liability company, as assignor (“Assignor”), ARADIGM CORPORATION, a California corporation (“Aradigm”), R&D BAUER VENTURES, LP, a Texas limited partnership (“Bauer Ventures |
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| February 19, 2014 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 13, 2014 Aradigm Corporation (Exact Name of Registrant as Specified in its Charter) California 000-28402 94-3133088 (State or Other Jurisdiction of Incorporation) (C |
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| February 18, 2014 |
Aradigm Corporation Up to 124,193,546 Shares of Common Stock 424B3 Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-193751 PROSPECTUS Aradigm Corporation Up to 124,193,546 Shares of Common Stock This prospectus relates to the resale of up to 124,193,546 shares of our common stock, no par value per share, being offered by the selling shareholders identified in this prospectus, including their respective transferees, donees, pledgees or |
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| February 18, 2014 |
Certificate of Correction to Certificate of Amendment of Articles of Incorporation of the Company. EX-3.1 Exhibit 3.1 CERTIFICATE OF CORRECTION TO CERTIFICATE OF AMENDMENT OF ARTICLES OF INCORPORATION OF ARADIGM CORPORATION The undersigned certify that: 1. They are the President and the Secretary, respectively, of Aradigm Corporation, a California corporation (the “Corporation”). 2. A Certificate of Amendment was filed with the Secretary of State of the State of California on August 23, 2013, a |
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| February 18, 2014 |
Financial Statements and Exhibits - FORM 8-K/A Form 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 3, 2014 Aradigm Corporation (Exact Name of Registrant as Specified in its Charter) California 000-28402 94-3133088 (State or Other Jurisdiction |
