Statement of Changes in Beneficial Ownership (4)
January 13 2020 - 4:03PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
1. Name and Address of Reporting Person
*
Nazak Michael Adrian |
2. Issuer Name and Ticker or Trading Symbol
Aridis Pharmaceuticals, Inc.
[
ARDS
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Financial Officer |
|
(Last)
(First)
(Middle)
C/O ARIDIS PHARMACEUTICALS, INC., 5941 OPTICAL COURT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/2/2020 |
|
(Street)
SAN JOSE, CA 95138
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Options | $4.45 | 1/2/2020 | | M | | 20000 | | (1) | 1/2/2030 | Common Stock | 20000 | $0 | 60000 | D | |
| Explanation of Responses: |
| (1) | The stock options vest in equal installments over 48 months, beginning on January 2, 2020. |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Nazak Michael Adrian
C/O ARIDIS PHARMACEUTICALS, INC.
5941 OPTICAL COURT
SAN JOSE, CA 95138 |
|
| Chief Financial Officer |
|
Signatures
|
| /s/ Michael A. Nazak | | 1/13/2020 |
| **Signature of Reporting Person | Date |
Aridis Pharmaceuticals (CE) (USOTC:ARDS)
Historical Stock Chart
From Feb 2025 to Mar 2025
Aridis Pharmaceuticals (CE) (USOTC:ARDS)
Historical Stock Chart
From Mar 2024 to Mar 2025
