0001105806-17-000017.txt : 20170612 0001105806-17-000017.hdr.sgml : 20170612 20170612074541 ACCESSION NUMBER: 0001105806-17-000017 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170612 DATE AS OF CHANGE: 20170612 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-46237 FILM NUMBER: 17904598 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LYTTON LAURENCE W CENTRAL INDEX KEY: 0001105806 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 467 CPW CITY: NY STATE: NY ZIP: 10025 SC 13G 1 ardm.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Name of Issuer) Aradigm Corp (Title of Class of Securities) Common Stock (CUSIP Number) 038505400 (Date of Event Which Requires Filing of this Statement) May 31, 2017 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ]Rule 13d-1(b) [ X ]Rule 13d-1(c) [ ]Rule 13d-1(d) CUSIP No. 038505400 1.Names of Reporting Persons. Laurence W.Lytton 2. Check the Appropriate Box if a Member of a Group (See Instructions) a).......................................................................... (b).......................................................................... 3.SEC Use Only 4.Citizenship or Place of Organization USA 5.Sole Voting Power 769,328 6.Shared Voting Power 7.Sole Dispositive Power 769,328 8.Shared Dispositive Power 9.Aggregate Amount Beneficially Owned by Each Reporting Person 769,328 (1) (1) Includes 10,799 shares of Common Stock issuable upon the conversion of the 9.0% Senior Convertible Notes due 2021, and 4,319 shares of Common Stock issuable upon exercise of warrants. 10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)................................. 11.Percent of Class Represented by Amount in Row (9) 5.1% (2) (2) Based on 14,993,978 shares outstanding as of May 4, 2017, as reported in the March 31, 2017 10-Q. 12.Type of Reporting Person (See Instructions) IN Item 1. (a)Name of Issuer Aradigm Corp (b)Address of Issuer's Principal Executive Offices 3929 Point Eden Way Hayward, CA 94545 Item 2. (a)Name of Person Filing Laurence W. Lytton (b)Address of Principal Business Office or, if none, Residence 467 CPW N.Y., NY 10025 (c)Citizenship USA (d)Title of Class of Securities Common (e)CUSIP Number 038505400 Item 3. not applicable Item 4.Ownership. (a)Amount beneficially owned: 769,328 (b)Percent of class: 5.1% (c)Number of shares as to which the person has: (i)Sole power to vote or to direct the vote 769,328. (ii)Shared power to vote or to direct the vote (iii)Sole power to dispose or to direct the disposition of 769,328. (iv)Shared power to dispose or to direct the disposition of Item 5.Ownership of Five Percent or Less of a Class: ( ) Item 6.Ownership of More than Five Percent on Behalf of Another Person. Not applicable Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable Item 8.Identification and Classification of Members of the Group Not applicable Item 9.Notice of Dissolution of Group Not applicable Item 10.Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. ___6/09/17_________________________ Date ____s/ Laurence W. Lytton____________________________ Signature _____Laurence W. Lytton___________________________ Name/Title