IPO registrations (S-1, F-1) · Registrants
ARADIGM CORP
- SEC CIK
- 1013238 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 1996-06-11, last 2018-11-30; 8 initial registrations, 12 amendments
- Outcome
- Final prospectus filed 1996-06-21; declared effective 2007-01-24; withdrawal requested 2018-11-28
- Industry (SIC)
- Electromedical & Electrotherapeutic Apparatus 3845
- Incorporated in
- CA
- Business address
- 3929 POINT EDEN WAY, Hayward, CA 94545
- EIN
- 94-3133088
- EDGAR entity type
- operating
- Insiders and CEO pay
- ARADIGM CORP on the corporate pages
Offering terms
- Proposed price range
- $11.00–$13.00 per share (S-1/A filed 1996-06-18)
- Final price
- $0.59 per share, below the range (424B4 filed 1996-06-21, an initial public offering)
- Shares sold
- 2,500,000
- Gross proceeds
- $1,475,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol ARDM
- Lead underwriters
- Cowen
- Syndicate
- Oppenheimer; Invemed Associates, Inc
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Form 5500 plan sponsor: ARADIGM CORP EXACT (EIN (EXACT))
- Federal award recipient: ARADIGM CORPORATION Fuzzy (name and state)
- Form D issuer: ARADIGM CORP EXACT (CIK (EXACT))
- SEC filer: ARADIGM CORP EXACT (CIK (EXACT))
Filings 40
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 1996-06-11 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0000891618-96-000832 ↗ |
| 1996-06-18 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0000891618-96-000918 ↗ |
| 1996-06-21 | 424B4 | 424B4 (final prospectus) | ARADIGM CORP | 0000891618-96-000966 ↗ |
| 1998-07-01 | 424B1 | 424B1 (final prospectus) | ARADIGM CORP | 0000950149-98-001244 ↗ |
| 2000-03-29 | 424B4 | 424B4 (final prospectus) | ARADIGM CORP | 0000891618-00-001809 ↗ |
| 2006-10-24 | S-1 | S-1 (registration) | ARADIGM CORP | 0000950134-06-019502 ↗ |
| 2007-01-04 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0000950134-07-000099 ↗ |
| 2007-01-24 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-07-000284 ↗ |
| 2007-01-25 | S-1MEF | S-1MEF (added securities) | ARADIGM CORP | 0000950134-07-001291 ↗ |
| 2007-01-25 | 424B4 | 424B4 (final prospectus) | ARADIGM CORP | 0000950134-07-001306 ↗ |
| 2008-01-25 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-08-000289 ↗ |
| 2010-08-11 | S-1 | S-1 (registration) | ARADIGM CORP | 0000950123-10-076189 ↗ |
| 2010-10-05 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0000950123-10-091246 ↗ |
| 2010-10-25 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0000950123-10-095719 ↗ |
| 2010-11-08 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0000950123-10-102372 ↗ |
| 2010-11-09 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-10-003173 ↗ |
| 2011-05-04 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-11-001388 ↗ |
| 2011-08-18 | S-1 | S-1 (registration) | ARADIGM CORP | 0000950123-11-078545 ↗ |
| 2011-09-01 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-11-002618 ↗ |
| 2012-04-17 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-12-001073 ↗ |
| 2013-09-30 | S-1 | S-1 (registration) | ARADIGM CORP | 0001193125-13-384987 ↗ |
| 2013-11-20 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0001193125-13-448476 ↗ |
| 2013-12-23 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0001193125-13-481386 ↗ |
| 2013-12-24 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-13-003669 ↗ |
| 2014-02-04 | S-1 | S-1 (registration) | ARADIGM CORP | 0001193125-14-035038 ↗ |
| 2014-02-11 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0001193125-14-045809 ↗ |
| 2014-02-12 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-14-000438 ↗ |
| 2014-04-21 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-14-001065 ↗ |
| 2014-04-21 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-14-001069 ↗ |
| 2015-04-08 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-15-000820 ↗ |
| 2015-04-08 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-15-000822 ↗ |
| 2016-05-12 | S-1 | S-1 (registration) | ARADIGM CORP | 0001193125-16-589078 ↗ |
| 2016-06-17 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0001193125-16-625158 ↗ |
| 2016-07-07 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0001193125-16-643375 ↗ |
| 2016-07-08 | EFFECT | EFFECT (declared effective) | ARADIGM CORP | 9999999995-16-005106 ↗ |
| 2017-11-03 | S-1 | S-1 (registration) | ARADIGM CORP | 0001193125-17-333064 ↗ |
| 2017-12-21 | S-1/A | S-1/A (amendment) | ARADIGM CORP | 0001193125-17-376676 ↗ |
| 2018-11-28 | RW | RW (withdrawal request) | ARADIGM CORP | 0001193125-18-336332 ↗ |
| 2018-11-30 | S-1 | S-1 (registration) | ARADIGM CORP | 0001193125-18-339917 ↗ |
| 2019-10-22 | RW | RW (withdrawal request) | ARADIGM CORP | 0001193125-19-271640 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 1996-06-18 | S-1/A | registration statement | $11.00–$13.00 | 2,500,000 | - | Nasdaq ARDM | 3 | from the submission text; range, shares headline, cover names 3 | document ↗ | |
| 1996-06-21 | 424B4 | final prospectus | $0.59 | 2,500,000 | $1,475,000 | Nasdaq ARDM | 3 | from the submission text; price line, shares headline, proceeds computed, cover names 3 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| CHESTERMAN THOMAS C | Officer | CFO; Senior VP and CFO | 2 | 2006 | |
| FARR STEPHEN J | Officer | Sr. VP, CSO | 1 | 2006 | |
| OTULANA BABTUNDE A | Officer | VP of Clincal Affairs | 5 | 2006–2007 | |
| TURANIN JOHN J | Officer | VP, Corporate Planning and Mgt | 1 | 2006 | |
| VENKATADRI BOBBA | Officer | Sr. VP Operations | 1 | 2006 | |
| RIGBY JONATHAN | Officer | VP, Business Development | 2 | 2006 | |
| LAWLIS V BRYAN | Director,Officer | President | 1 | 2006 | |
| BARKER FRANK H | Director | 12 | 2006–2013 | ||
| GONDA IGOR | Director; Director,Officer | Chief Executive Officer | 24 | 2006–2017 | |
| JAEGER STEPHEN O | Director | 3 | 2006–2007 | ||
| THOMPSON VIRGIL | Director | 16 | 2006–2018 | ||
| SIEBERT JOHN M | Director; Director,Officer | Interim Principal Exec Ofcr | 15 | 2006–2018 | |
| TANG CAPITAL MANAGEMENT LLC | TenPercentOwner | 6 | 2007–2008 | ||
| TANG CAPITAL PARTNERS LP | TenPercentOwner | 6 | 2007–2008 | ||
| TANG KEVIN C | TenPercentOwner | 6 | 2007–2008 | ||
| ALDRICH RICHARD | TenPercentOwner | 8 | 2007–2008 | ||
| Kolchinsky Peter | TenPercentOwner | 8 | 2007–2008 | ||
| RA Capital Biotech Fund LP | TenPercentOwner | 7 | 2007–2008 | ||
| RA CAPITAL MANAGEMENT, LLC | TenPercentOwner | 8 | 2007–2008 | ||
| RA Capital Biotech Fund II, L.P. | TenPercentOwner | 7 | 2007–2008 | ||
| Halleen Norman | Officer | Chief Financial Officer | 1 | 2007 | |
| LYNCH TIMOTHY P | Director | 4 | 2008 | ||
| Grimes D Jeffery | Officer | VP Legal Affairs, Secretary | 5 | 2008–2010 | |
| PECOTA NANCY E | Officer | VP and CFO | 17 | 2008–2017 | |
| Arnhold & S. Bleichroeder Advisers, LLC | TenPercentOwner | 11 | 2009–2019 | ||
| First Eagle Value in Biotechnology Master Fund, Ltd. | TenPercentOwner; TenPercentOwnerOther | 14 | 2009–2019 | ||
| 21 APRIL FUND LP | Other; TenPercentOwner; TenPercentOwnerOther | 12 | 2010–2019 | ||
| 21 APRIL FUND LTD | TenPercentOwner; TenPercentOwnerOther | 12 | 2010–2019 | ||
| DEF Associates N.V. | TenPercentOwnerOther | 6 | 2010–2012 | ||
| NOVO NORDISK A S | TenPercentOwner | 6 | 2010 | ||
| HOWSON TAMAR D | Director | 4 | 2010–2012 | ||
| DEF Associates LP | TenPercentOwner; TenPercentOwnerOther | 4 | 2011–2013 | ||
| DEF Associates Ltd. | TenPercentOwner; TenPercentOwnerOther | 3 | 2012–2013 | ||
| Boxer Asset Management Inc. | TenPercentOwner | 1 | 2013 | ||
| Boxer Capital, LLC | TenPercentOwner | 1 | 2013 | ||
| Davis Aaron I. | TenPercentOwner | 1 | 2013 | ||
| LEWIS JOSEPH | TenPercentOwner | 1 | 2013 | ||
| LIEBERBURG IVAN M | TenPercentOwner | 1 | 2013 | ||
| MVA Investors, LLC | TenPercentOwner | 1 | 2013 | ||
| Short Helen E | Director | 2 | 2013 | ||
| Bell David Ian | Director | 1 | 2013 | ||
| Grifols SA | Director,TenPercentOwner; TenPercentOwner | 2 | 2013–2017 | ||
| Morgan Lafmin | Director | 1 | 2013 | ||
| Froehlich Juergen Kurt | Officer | Chief Medical Officer | 19 | 2013–2018 | |
| Hudson Frederick M. | Director | 6 | 2014–2018 | ||
| Grifols Worldwide Operations Ltd | TenPercentOwner | 1 | 2017 | ||
| Gordon Edwin H. | Director | 2 | 2018 | ||
| Matkovits Theresa | Director | 2 | 2018 | ||
| Bleichroeder LP | TenPercentOwner | 1 | 2019 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2016-05-03 | ARADIGM CORP | Pharmaceuticals | $23,000,000 | $23,000,000 | 5 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Form D issuer | ARADIGM CORP | CA | Form D private offerings | CIK (EXACT) |
| SEC filer | ARADIGM CORP | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | ARADIGM CORP | EIN (EXACT) | ||
| Federal award recipient | ARADIGM CORPORATION | Federal spending (USAspending) | name and state |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.