ARADIGM CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows, 5 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 Warrants to purchase Common Stock (right to buy); Transaction J Other acquisition or disposition (describe transaction).
- 2018-02-02: Reporting owner 21 APRIL FUND, LTD. | First Eagle Value in Biotechnology Master Fund, Ltd. | 21 APRIL FUND, L.P. | First Eagle Investment Management, LLC; Form 4; Security Warrants to purchase Common Stock (right to buy); Transaction Holding.
- 2016-12-02: Reporting owner 21 APRIL FUND, L.P. | 21 APRIL FUND, LTD. | First Eagle Investment Management, LLC | First Eagle Value in Biotechnology Master Fund, Ltd.; Form 4; Security Warrants to purchase Common Stock (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2010-09-21: Reporting owner First Eagle Value in Biotechnology Master Fund, Ltd. | 21 APRIL FUND LTD | 21 APRIL FUND LP | DEF Associates N.V.; Form 4; Security Common Stock Warrants (Right to Buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-09-01 | First Eagle Investment Management, LLC 10% Owner | 4 | Warrants to purchase Common Stock (right to buy) Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −259,117 0 owned after | $5.21 exercise price | 2019-09-04 | |
| 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 | Warrants to purchase Common Stock (right to buy) Derivative · Indirect · See Footnotes | Holding | 259,117 owned after | $5.21 exercise price | 2018-02-02 | |
| 2016-12-02 | 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 | Warrants to purchase Common Stock (right to buy) Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +259,117 259,117 owned after | $5.21 | 2016-12-06 | |
| 2010-09-21 | First Eagle Value in Biotechnology Master Fund, Ltd. | 21 APRIL FUND LTD | 21 APRIL FUND LP | DEF Associates N.V. | | | | 4 | Common Stock Warrants (Right to Buy) Derivative · Indirect · See notes | X Exercise of in-the-money or at-the-money derivative security | −4,215,239 0 owned after | $0.12 exercise price | 2010-09-22 | |
| 2010-06-21 | 21 APRIL FUND LTD | DEF Associates N.V. | 21 APRIL FUND LP | First Eagle Value in Biotechnology Master Fund, Ltd. | | | | 4 | Common Stock Warrants (Right to Buy) Derivative · Indirect · See Remarks, note (2). | P Open market or private purchase of non-derivative or derivative security | +4,215,239 4,215,239 owned after | $0.12 | 2010-06-22 |