0001354457-23-000655.txt : 20230908
0001354457-23-000655.hdr.sgml : 20230908
20230908101304
ACCESSION NUMBER: 0001354457-23-000655
CONFORMED SUBMISSION TYPE: 25-NSE
CONFIRMING COPY:
PUBLIC DOCUMENT COUNT: 2
FILED AS OF DATE: 20230908
DATE AS OF CHANGE: 20230908
SUBJECT COMPANY:
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: 25-NSE
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38630
BUSINESS ADDRESS:
STREET 1: 983 UNIVERSITY AVENUE, BLDG. B
CITY: LOS GATOS
STATE: CA
ZIP: 95032
BUSINESS PHONE: (408) 385-1742
MAIL ADDRESS:
STREET 1: 983 UNIVERSITY AVENUE, BLDG. B
CITY: LOS GATOS
STATE: CA
ZIP: 95032
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Nasdaq Stock Market LLC
CENTRAL INDEX KEY: 0001354457
IRS NUMBER: 521165937
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 25-NSE
BUSINESS ADDRESS:
STREET 1: One Liberty Plaza
CITY: New York
STATE: NY
ZIP: 10006
BUSINESS PHONE: 301-978-4144
MAIL ADDRESS:
STREET 1: Office of General Counsel
STREET 2: 805 King Farm Blvd.
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
FORMER COMPANY:
FORMER CONFORMED NAME: The Nasdaq Stock Market LLC
DATE OF NAME CHANGE: 20060224
25-NSE
1
primary_doc.xml
X0203
0001354457
Nasdaq Stock Market LLC
0001614067
Aridis Pharmaceuticals, Inc.
001-38630
983 University Avenue, Building B
Los Gatos
CA
CALIFORNIA
95032
6502795388
Common stock
17 CFR 240.12d2-2(b)
Aravind Menon
Hearings Advisor
2023-09-08
EX-99.25
2
ardsdelistreason.txt
Delisting Determination, The Nasdaq Stock Market, LLC, September 8, 2023,
Aridis Pharmaceuticals Inc.
The Nasdaq Stock Market LLC (the Exchange) has determined to remove
from listing the common stock of Aridis Pharmaceuticals Inc.,
effective at the opening of the trading session on September 18, 2023.
Based on review of information provided by the Company, Nasdaq
Staff determined that the Company no longer qualified for listing
on the Exchange pursuant to Listing Rule 5550(b)(2). The Company was
notified of the Staff determination on March 29, 2023.
On April 5, 2023, the Company exercised its right to appeal
the Staff determination to the Listing Qualifications Hearings
Panel (Panel) pursuant to Rule 5815. Nasdaq Staff issued an additional
delist determination letter on April 19, 2023, for the Company
failure to meet the filing requirement in Listing Rule 5250(c)(1).
A Panel hearing was held on May 4, 2023. On May 23, 2023, Staff
issued an additional delist determination pursuan to Listing
Rule 5250(c)(1). On June 20, 2023, upon review of the information
provided by the Company, the Panel granted the Company request to
remain listed in the Exchange subject to a series of milestones.
On July 5, 2023, the Panel issued a delist decision as the
Company was not able to implement a compliance plan.
Suspension of trading in the Company shares was effective at the open
of business on July 19, 2023. The Company did not appeal the Panel
decision to the Nasdaq Listing and Hearing Review Council (Council)
and the Council did not call the matter for review. The Staff
determination to delist the Company became final on August 31, 2023.