0001459975-12-000001.txt : 20120112
0001459975-12-000001.hdr.sgml : 20120112
20120112162341
ACCESSION NUMBER: 0001459975-12-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120101
FILED AS OF DATE: 20120112
DATE AS OF CHANGE: 20120112
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: DEF Associates N.V.
CENTRAL INDEX KEY: 0001459975
STATE OF INCORPORATION: P8
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-28402
FILM NUMBER: 12524468
BUSINESS ADDRESS:
STREET 1: C/O CITCO FUND SERVICES (CURACAO) N.V.
STREET 2: KAYA FLAMBOYAN 9, P.O. BOX 812
CITY: CURACAO
STATE: P8
ZIP: 00000
BUSINESS PHONE: 599-9-732-2222
MAIL ADDRESS:
STREET 1: C/O CITCO FUND SERVICES (CURACAO) N.V.
STREET 2: KAYA FLAMBOYAN 9, P.O. BOX 812
CITY: CURACAO
STATE: P8
ZIP: 00000
FORMER NAME:
FORMER CONFORMED NAME: DEF Associates N V
DATE OF NAME CHANGE: 20090326
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0304
4
2012-01-01
0
0001013238
ARADIGM CORP
ARDM
0001459975
DEF Associates N.V.
C/O FIRST EAGLE INVESTMENT MANAGEMENT
1345 AVENUE OF THE AMERICAS
NEW YORK
NY
10105
0
0
1
1
See footnotes below
Common Stock
2012-01-01
4
J
0
7473328
0.105
D
0
D
Consists of 7,473,328 shares distributed to certain investors in DEF Associates N.V. ("DEF Associates Offshore") pursuant to the redemption of such investors' shares in DEF Associates Offshore.
DEF Associates Offshore directly owns no shares. DEF Associates Ltd., First Eagle Value in Biotechnology Master Fund, Ltd., 21 April Fund, L.P., 21 April Fund, Ltd., and DEF Associates LP (collectively, the "Funds") may be deemed to be members of a Section 13(d) group owning more than 10% of the issuer's outstanding common stock. The Funds together beneficially own 71,357,909 shares. Each of the Funds disclaims Section 16 beneficial ownership of the reported securities, and this report shall not be deemed an admission that any such Fund is the beneficial owner of such securities, except to the extent of its pecuniary interest therein.
/s/Tim Tabor
2012-01-12