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