0001144204-16-120327.txt : 20160819 0001144204-16-120327.hdr.sgml : 20160819 20160819140647 ACCESSION NUMBER: 0001144204-16-120327 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20160819 DATE AS OF CHANGE: 20160819 EFFECTIVENESS DATE: 20160819 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Aridis Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001614067 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 320074500 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-269256 FILM NUMBER: 161842780 BUSINESS ADDRESS: STREET 1: 5941 OPTICAL COURT CITY: SAN JOSE STATE: CA ZIP: 95138 BUSINESS PHONE: (408) 385-1742 MAIL ADDRESS: STREET 1: 5941 OPTICAL COURT CITY: SAN JOSE STATE: CA ZIP: 95138 D 1 primary_doc.xml X0707 D LIVE 0001614067 Aridis Pharmaceuticals, Inc. 5941 OPTICAL COURT SAN JOSE CA CALIFORNIA 95138 (408) 385-1742 DELAWARE Aridis Pharmaceuticals LLC None Corporation true Vu Truong 5941 Optical Court San Jose CA CALIFORNIA 95138 Executive Officer Director Chief Executive Officer, Director Eric Patzer 5941 Optical Court San Jose CA CALIFORNIA 95138 Executive Officer Director Secretary, Chairman of the Board of Directors Fred Kurland 5941 Optical Court San Jose CA CALIFORNIA 95138 Executive Officer Chief Financial Officer Paul-Andre de Lame 5941 Optical Court San Jose CA CALIFORNIA 95138 Executive Officer Chief Medical Officer Robert K. Coughlin 5941 Optical Court San Jose CA CALIFORNIA 95138 Director Craig Gibbs 5941 Optical Court San Jose CA CALIFORNIA 95138 Director John Hamilton 5941 Optical Court San Jose CA CALIFORNIA 95138 Director Robert R. Ruffolo, Jr. 5941 Optical Court San Jose CA CALIFORNIA 95138 Director Isaac Blech 5941 Optical Court San Jose CA CALIFORNIA 95138 Director Vice Chairman Pharmaceuticals Decline to Disclose 06b false 2016-08-12 false true true true false 50000 Maxim Merchant Capital, a division of Maxim Group LLC 120708 None None 405 LEXINGTON AVE NEW YORK NY NEW YORK 10174 AZ ARIZONA CA CALIFORNIA CO COLORADO CT CONNECTICUT DE DELAWARE DC DISTRICT OF COLUMBIA FL FLORIDA HI HAWAII IL ILLINOIS IN INDIANA KS KANSAS KY KENTUCKY MD MARYLAND MA MASSACHUSETTS MI MICHIGAN MN MINNESOTA MO MISSOURI NV NEVADA NH NEW HAMPSHIRE NJ NEW JERSEY NY NEW YORK PA PENNSYLVANIA RI RHODE ISLAND SC SOUTH CAROLINA TX TEXAS VT VERMONT WI WISCONSIN WY WYOMING true 40000000 15216241 24783759 false 133 1521624 0 The placement agent also received a warrant to purchase Series A Convertible Preferred Stock or common stock at the same exercise price as investors. 0 false Aridis Pharmaceuticals, Inc. /s/ Vu Truong Vu Truong Chief Executive Officer 2016-08-19