Form DEFA14A - Additional definitive proxy soliciting materials and Rule 14(a)(12) material
November 03 2023 - 6:15AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
14A
Proxy
Statement Pursuant to Section 14(a) of
the
Securities Exchange Act of 1934
Filed
by the Registrant ☒
Filed
by a Party other than the Registrant ☐
Check
the appropriate box:
☐
Preliminary Proxy Statement
☐
Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))
☐
Definitive Proxy Statement
☒
Definitive Additional Materials
☐
Soliciting Material under §240.14a-12
Aridis
Pharmaceuticals, Inc.
(Name
of Registrant as Specified in Its Charter)
(Name
of Person(s) Filing Proxy Statement, if other than the Registrant)
Payment
of Filing Fee (Check the appropriate box):
☒
No fee required.
☐
Fee paid previously with preliminary materials.
☐
Fee computed on table in exhibit required by Item 25(b) per Exchange Act Rules 14a6(i)(1) and 0-11.
SUPPLEMENT
TO DEFINITIVE PROXY STATEMENT
This
supplemental information should be read in conjunction with the definitive proxy statement on Schedule 14A filed by the Company on November
2, 2023 (the “Definitive Proxy Statement”). The section of the Definitive Proxy Statement entitled “Security
Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters” is replaced in its entirety with the following:
SECURITY
OWNERSHIP OF CERTAIN BENEFICIAL OWNERS
AND
MANAGEMENT AND RELATED STOCKHOLDER MATTERS
The
following table sets forth certain information regarding beneficial ownership of shares of our common stock as of November 2, 2023 by
(i) each person known to beneficially own more than 5% of our outstanding common stock, (ii) each of our directors, (iii) each of our
named executive officers, and (iv) all of our directors and executive officers as a group. Except as otherwise indicated, the persons
named in the table below have sole voting and investment power with respect to all shares beneficially owned, subject to community property
laws, where applicable. The percentage of shares beneficially owned is computed on the basis of 44,574,021 shares of our common stock
outstanding as of November 2, 2023.
Beneficial Owner | |
Number of
Shares
Beneficially
Owned | | |
Percentage of
Common Stock
Beneficially
Owned | |
Directors and Executive Officers | |
| | | |
| | |
Dr. Eric Patzer(1) | |
| 884,244 | | |
| 2.0 | |
Dr. Vu Truong(2) | |
| 1,577,603 | | |
| 3.5 | |
Dr. Hasan Jafri (3) | |
| 162,184 | | |
| * | |
John Hamilton(4) | |
| 97,790 | | |
| * | |
Susan Windham-Bannister(5) | |
| 79,750 | | |
| * | |
All directors and officers as a group (5 persons)(6) | |
| 2,801,571 | | |
| 6.3 | |
Five Percent Stockholders | |
| | | |
| | |
Cystic Fibrosis Foundation | |
| 5,168,732 | | |
| 11.6 | |
*
Less than 1%.
(1)
Includes 158,112 stock options and 12,000 restricted stock units which are currently exercisable or exercisable within 60 days of November
2, 2023.
(2)
Includes 810,250 stock options and 15,000 restricted stock units which are currently exercisable or exercisable within 60 days of November
2, 2023.
(3)
Includes 137,084 stock options and 10,000 restricted stock units which are currently exercisable or exercisable within 60 days of November
2, 2023.
(4)
Includes 87,790 stock options and 5,000 restricted stock units which are currently exercisable or exercisable within 60 days of November
2, 2023.
(5)
Includes 69,750 stock options and 5,000 restricted stock units which are currently exercisable
or exercisable within 60 days of November 2, 2023.
(6)
Includes 1,262,986 stock options and 47,000 restricted stock units which are currently exercisable
or exercisable within 60 days of November 2, 2023.
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