13D Filing: Grifols Sa and Aradigm Corp (NASDAQ:ARDM)

Page 2 of 12

Page 2 of 12 – SEC Filing


CUSIP No. 038505400 SCHEDULE 13D Page
2
of 12
  1

NAMES OF
REPORTING PERSONS

Grifols, S.A.

  2

CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)

(a)  ☐        (b)  ☒

  3

SEC USE ONLY

  4

SOURCE OF FUNDS (SEE INSTRUCTIONS)

WC, AF

  5

CHECK IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

  6

CITIZENSHIP OR PLACE OF
ORGANIZATION

Spain

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

  7

SOLE VOTING POWER

5,244,363

  8

SHARED VOTING POWER

3,829,175

  9

SOLE DISPOSITIVE POWER

5,244,363

10

SHARED DISPOSITIVE POWER

3,829,175

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

9,073,538

12

CHECK IF THE AGGREGATE AMOUNT IN ROW
(11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

13

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

48.3%

14

TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)

CO

2

Follow Aradigm Corp (NASDAQ:ARDM)

Page 2 of 12