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