0001493152-23-021476.txt : 20230615 0001493152-23-021476.hdr.sgml : 20230615 20230615171108 ACCESSION NUMBER: 0001493152-23-021476 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230504 FILED AS OF DATE: 20230615 DATE AS OF CHANGE: 20230615 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jafri Hasan CENTRAL INDEX KEY: 0001815352 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38630 FILM NUMBER: 231018378 MAIL ADDRESS: STREET 1: 5941 OPTICAL COURT CITY: SAN JOSE STATE: CA ZIP: 95138 ISSUER: 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 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 4 1 ownership.xml X0407 4 2023-05-04 0 0001614067 Aridis Pharmaceuticals, Inc. ARDS 0001815352 Jafri Hasan C/O ARIDIS PHARMACEUTICALS, INC. 983 UNIVERSITY AVENUE, BLDG. B LOS GATOS, CA 95032 0 1 0 0 Chief Medical Officer 0 Common Stock 2023-06-05 4 M 0 10000 A 15100 D Stock Options 0.16 2023-05-04 4 A 0 25000 0 A 2033-05-04 Common Stock 25000 155000 D Restricted Stock Units 2023-06-05 4 M 0 10000 D Common Stock 10000 10000 D 50% of the options vest on the three month anniversary of the date of grant and the remainder vest on the six month anniversary of the date of grant. Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. 10,000 shares of Common Stock vested on June 5, 2023 and 10,000 will vest on 12/5/2023. In the event that the Reporting Person's employment is terminated without cause by the Issuer, the RSUs will immediately vest. /s/ Hasan Jafri 2023-06-15