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, 2 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-04-25: Reporting owner 21 APRIL FUND, LTD. | First Eagle Investment Management, LLC | 21 APRIL FUND, L.P. | First Eagle Value in Biotechnology Master Fund, Ltd.; Form 4; Security 9.0% Senior Convertible Notes due 2021; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-04-21: Reporting owner Grifols SA; Form 4; Security 9% Senior Convertible Notes due 2021; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 |