0001012975-17-000287.txt : 20170404 0001012975-17-000287.hdr.sgml : 20170404 20170404141559 ACCESSION NUMBER: 0001012975-17-000287 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160421 FILED AS OF DATE: 20170404 DATE AS OF CHANGE: 20170404 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: Grifols SA CENTRAL INDEX KEY: 0001438569 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36480 FILM NUMBER: 17737442 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY STREET 2: SUITE 2376 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-969-3335 MAIL ADDRESS: STREET 1: 1585 BROADWAY STREET 2: SUITE 2376 CITY: NEW YORK STATE: NY ZIP: 10036 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2016-04-21 0001013238 ARADIGM CORP ARDM 0001438569 Grifols SA AV. GENERALITAT 152-158 SAN CUGAT DEL VALLES BARCELONA U3 08174 SPAIN 0 0 1 0 9% Senior Convertible Notes due 2021 2016-04-21 4 P 0 19950000.00 19950000.00 A Common Stock 3829175 19950000.00 I See footnote The Senior Convertible Notes are exercisable by the holder at any time prior to the close of business on the second business day immediately preceding May 1, 2021 (the maturity date for the Senior Convertible Notes). The conversion rate of the Senior Convertible Notes is 191.9386 shares of common stock for each $1,000 principal amount of Senior Convertible Notes, subject to adjustment, which represents a conversion price of approximately $5.21 per share of common stock. The Senior Convertible Notes are held by Grifols Worldwide Operations Limited, a wholly-owned subsidiary of the Reporting Person. The Reporting Person disclaims beneficial ownership of the Senior Convertible Notes except to the extent of its pecuniary interest. /s/ David I. Bell, Authorized Signatory 2017-04-04