Form D · Pharmaceuticals

ARADIGM CORP

Hayward, CA · CIK 0001013238

Offering snapshot reported May 3, 2016 · SEC filing

Reported sold: $23M
Investors reported: 5
Minimum accepted: $0
First sale: Apr 25, 2016

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
May 3, 2016	Initial	$23,000,000	No comparison	5	SEC filing
Jun 29, 2010	Initial	$4,108,777	No comparison	9	SEC filing
Jan 12, 2005	Paper	Not reported	No comparison	Not reported

Offering details

Securities: Debt, Option to acquire, Security to be acquired
Exemptions: 06b
Duration over one year: No
Business combination: No

Sales commissions: $1.83M (estimated)
Finders' fees: $0
Form D file number: 021-262513

The amount of sale compensation paid is based on total amount sold and expenses, the issuer has not received final invoices from the placement agents.

Sales compensation recipients

Scroll to see all columns →

Recipient	CRD	Associated broker-dealer
Ladenburg Thalmann & Co. Inc.	505
Nomura Securities International, Inc.	4297

Source: Form D, filed May 3, 2016. Minimum accepted may differ from a standard advertised minimum.

Fund connections

No confirmed ADV fund connection is available for this issuer.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Frank Barker	Director
David Bell	Director
Igor Gonda	Director, Executive
Frederick Hudson	Director
Nancy E. Pecota	Executive
John M. Siebert	Director
Virgil D. Thompson	Director

Issuer details

Industry: Pharmaceuticals (See others in industry)

Address:

3929 Point Eden Way
Hayward, CA, 94545