-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, D+mdSiESTBCQITN4koFBUILHyEObERe5VH+7KM52pPHvAI8IGKi1Lt1OWU1IaU9N iq+A9Ml/k8cvJuVFaiiGEQ== 0001255224-03-000228.txt : 20031216 0001255224-03-000228.hdr.sgml : 20031216 20031216195116 ACCESSION NUMBER: 0001255224-03-000228 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031211 FILED AS OF DATE: 20031216 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARADIGM CORP CENTRAL INDEX KEY: 0001013238 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 943133088 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3929 POINT EDEN WAY CITY: HAYWARD STATE: CA ZIP: 94545 BUSINESS PHONE: 5102659000 MAIL ADDRESS: STREET 1: 3929 POINT EDEN WAY CITY: HAYWARD STATE: CA ZIP: 94545 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEWHALL CHARLES W III CENTRAL INDEX KEY: 0001005544 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 333-72037 FILM NUMBER: 031058492 BUSINESS ADDRESS: STREET 1: 1119 ST PAUL ST CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4102440115 MAIL ADDRESS: STREET 1: 1119 ST PAUL ST CITY: BALTIMORE STATE: MD ZIP: 21202 4 1 f4100101031216_201318293.xml PRIMARY DOCUMENT X0201 4 2003-12-11 0 0001013238 ARADIGM CORP ARDM 0001005544 NEWHALL CHARLES W III 1119 ST. PAUL STREET BALTIMORE MD 21202 0 0 1 0 Common Stock 2003-12-11 4 J 0 70027 0 D 0 I See Note 1 Common Stock 2003-12-11 4 J 0 51 0 A 51 D Common Stock 2003-12-11 4 J 0 485 0 A 485 I See Note 2 Common Stock 2003-12-11 4 J 0 485 0 A 485 I See Note 3 The Reporting Person is a general partner of NEA Partners 10, Limited Partnership and disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Partners 10, in which the reporting person has no actual pecuniary interest. Held by Adair's Trust u/a/11/15/96, Amy Liebno Newhall, Frank A. Bonsal, C. Van Leuven Stewart, Trustees. Held by Ashton's Trust u/a/11/15/96, Amy Liebno Newhall, Frank A. Bonsal, C. Van Leuven Stewart, Trustees. Distribution by NEA Partners 10, Limited Partnership. In addition to the holdings reported herein, the Reporting Person is a member of New Enterprise Associates, LLC ("NEA LLC") and a general partner of (i) NEA Partners 10, Limited Partnership which is the sole general partner of New Enterprise Associates 10, Limited Partnership ("NEA 10"), and (ii) NEA Partners VIII, Limited Partnership which is the sole general partner of New Enterprise Associates VIII, Limited Partnership ("NEA VIII"). NEA 10 directly holds (i) 2,489,585 common shares of the issuer, (ii) 1,033,057 Series A Preferred shares of the issuer, and (iii) warrants for 2,447,563 common shares of the issuer. NEA VIII directly holds 10,427 common shares of the issuer. NEA LLC directly holds 5,552 common shares of the issuer. The reporting person disclaims beneficial ownership, within the meaning of section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares and NEA VIII shares and NEA LLC shares, in which th e reporting person has no actual pecuniary interest. Louis S. Citron, attorney-in-fact 2003-12-16 -----END PRIVACY-ENHANCED MESSAGE-----