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ARDS Aridis Pharmaceuticals Inc

0.289
0.00 (0.00%)
After Hours
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Aridis Pharmaceuticals Inc NASDAQ:ARDS NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 0.289 0.218 0.3007 0 01:00:00

Amended Statement of Beneficial Ownership (3/a)

29/08/2019 4:37pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
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 *

Truong Vu

2. Date of Event Requiring Statement (MM/DD/YYYY)
8/13/2018 

3. Issuer Name and Ticker or Trading Symbol

Aridis Pharmaceuticals, Inc. [ARDS]

(Last)        (First)        (Middle)

C/O ARIDIS PHARMACEUTICALS, INC., 5491 OPTICAL CT.

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                          ___X___ 10% Owner
___X___ Officer (give title below)        _____ Other (specify below)
CEO, CSO, Director /

(Street)

SAN JOSE, CA 95138      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)

8/13/2018 

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 Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options  (1)3/6/2025 (1)Common Stock 77908 $2.89 D  
Stock Options 3/1/2017 10/20/2026 (2)Common Stock 77908 (2)$13.16 D  
Stock Options  (3)1/26/2028 (3)Common Stock 116861 $17.01 D  

Explanation of Responses:
(1) The Stock Options vest in equal installments over 48 months, beginning on January 1, 2015. The original form 3 stated that vesting began on December 31, 2014. The original form 3 also reported the expiration date as 03/16/2025.
(2) The original form 3 reported the expiration date as 10/26/2026. The original form 3 reported the amount as 23,373.
(3) The Stock Options vest in equal installments over 48 months, beginning on December 5, 2017. The original form 3 reported the expiration date as 12/05/2027.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Truong Vu
C/O ARIDIS PHARMACEUTICALS, INC.
5491 OPTICAL CT.
SAN JOSE, CA 95138
XXCEO, CSO, Director

Signatures
/s/ Vu Truong8/29/2019
**Signature of Reporting PersonDate

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