ARADIGM CORP Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows, 9 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-09-01: Reporting owner First Eagle Investment Management, LLC; Form 4; Security 9.0% Senior Convertible Notes due 2021; Transaction J Other acquisition or disposition (describe transaction).
- 2019-05-01: Reporting owner 21 APRIL FUND, LTD. | First Eagle Value in Biotechnology Master Fund, Ltd. | First Eagle Investment Management, LLC | 21 APRIL FUND, L.P.; Form 4; Security 9.0% Senior Convertible Notes due 2021; Transaction J Other acquisition or disposition (describe transaction).
- 2018-11-01: Reporting owner 21 APRIL FUND, L.P. | First Eagle Value in Biotechnology Master Fund, Ltd. | 21 APRIL FUND, LTD. | First Eagle Investment Management, LLC; Form 4; Security 9.0% Senior Convertible Notes due 2021; Transaction J Other acquisition or disposition (describe transaction).
- 2018-05-01: Reporting owner First Eagle Value in Biotechnology Master Fund, Ltd. | First Eagle Investment Management, LLC | 21 APRIL FUND, LTD. | 21 APRIL FUND, L.P.; Form 4; Security 9.0% Senior Convertible Notes due 2021; Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-09-01 | First Eagle Investment Management, LLC 10% Owner | 4 | 9.0% Senior Convertible Notes due 2021 Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −3,362,072 0 owned after | $0.00 | 2019-09-04 | |
| 2019-05-01 | 21 APRIL FUND, LTD. | First Eagle Value in Biotechnology Master Fund, Ltd. | First Eagle Investment Management, LLC | 21 APRIL FUND, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 9.0% Senior Convertible Notes due 2021 Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +85,997 3,362,072 owned after | $0.00 | 2019-05-03 | |
| 2018-11-01 | 21 APRIL FUND, L.P. | First Eagle Value in Biotechnology Master Fund, Ltd. | 21 APRIL FUND, LTD. | First Eagle Investment Management, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 9.0% Senior Convertible Notes due 2021 Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +141,076 3,276,076 owned after | no price filed | 2018-11-05 | |
| 2018-05-01 | First Eagle Value in Biotechnology Master Fund, Ltd. | First Eagle Investment Management, LLC | 21 APRIL FUND, LTD. | 21 APRIL FUND, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 9.0% Senior Convertible Notes due 2021 Derivative · Indirect · See footnotes | J Other acquisition or disposition (describe transaction) | +25,913 3,135,000 owned after | no price filed | 2018-05-02 | |
| 2018-02-02 holding as of filing | 21 APRIL FUND, LTD. | First Eagle Value in Biotechnology Master Fund, Ltd. | 21 APRIL FUND, L.P. | First Eagle Investment Management, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 9.0% Senior Convertible Notes due 2021 Derivative · Indirect · See Footnotes | Holding | 3,000,000 owned after | no price filed | 2018-02-02 | |
| 2017-04-04 holding as of filing | Grifols Worldwide Operations Ltd 10% Owner | 3 | 9% Senior Convertible Notes due 2021 Derivative · Direct | Holding | no price filed | 2017-04-04 | ||
| 2016-12-06 holding as of filing | 21 APRIL FUND, L.P. | 21 APRIL FUND, LTD. | First Eagle Investment Management, LLC | First Eagle Value in Biotechnology Master Fund, Ltd. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 9.0% Senior Convertible Notes due 2021 Derivative · Indirect · See Footnotes | Holding | 3,000,000 owned after | no price filed | 2016-12-06 | |
| 2016-04-25 | 21 APRIL FUND, LTD. | First Eagle Investment Management, LLC | 21 APRIL FUND, L.P. | First Eagle Value in Biotechnology Master Fund, Ltd. | 10% Owner | Other (See footnotes 1 and 2) | 10% Owner | 4 | 9.0% Senior Convertible Notes due 2021 Derivative · Indirect · See footnotes | P Open market or private purchase of non-derivative or derivative security | +3,000,000 3,000,000 owned after | $5.21 | 2016-04-27 | |
| 2016-04-21 | Grifols SA 10% Owner | 4 | 9% Senior Convertible Notes due 2021 Derivative · Indirect · See footnote | P Open market or private purchase of non-derivative or derivative security | $19,950,000.00 | 2017-04-04 |