• Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • Settings
  • RSS Feeds
Quantisnow Logo
  • Live Feeds
    • Press Releases
    • Insider Trading
    • FDA Approvals
    • Analyst Ratings
    • Insider Trading
    • SEC filings
    • Market insights
  • Analyst Ratings
  • Alerts
  • Subscriptions
  • Settings
  • RSS Feeds
Dashboard
    Quantisnow Logo

    © 2025 quantisnow.com
    Democratizing insights since 2022

    Services
    Live news feedsRSS FeedsAlerts
    Company
    AboutQuantisnow PlusContactJobs
    Legal
    Terms of usePrivacy policyCookie policy

    SEC Form SC 13G filed by Aridis Pharmaceuticals Inc.

    3/20/23 4:35:10 PM ET
    $ARDS
    Biotechnology: Pharmaceutical Preparations
    Health Care
    Get the next $ARDS alert in real time by email
    SC 13G 1 schedule13g.htm
     
    UNITED STATES
    SECURITIES AND EXCHANGE COMMISSION
    Washington, D.C. 20549
     
         
         
         
     
    SCHEDULE 13G
     
     
     
    Under the Securities Exchange Act of 1934
     
     
     
    (Amendment No.   )*
     
         
     
    Aridis Pharmaceuticals, Inc.
     
     
    (Name of Issuer)
     
         
     
    Common Stock, par value $0.0001 per share
     
     
    (Title of Class of Securities)
     

     
    040334104
     
     
    (CUSIP Number)
     

     
    March 16, 2023
     
     
    (Date of Event which Requires Filing of this Statement)
     


    Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
     
    [ ]
    Rule 13d-1(b)
     
    [x]
    Rule 13d-1(c)
     
    [ ]
    Rule 13d-1(d)
     



    ___________________________________
    *  The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
     
    The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
     

    1
    Names of Reporting Persons.
    I.R.S. Identification Nos. of above persons (entities only)

    Lind Global Fund II LP

    2
    Check the Appropriate Box if a Member of a Group (See Instructions)
     
    (a) [ ]
     
    (b) [x]
    3
    SEC Use Only
    4
    Citizenship or Place of Organization.
     
    Delaware
    Number
    of Shares
    Beneficially
    Owned by
    Each
    Reporting
    Person With
    5 Sole Voting Power

    3,000,000
    6 Shared Voting Power
     
    0
    7 Sole Dispositive Power
     
    3,000,000
    8 Shared Dispositive Power
     
    0
    9
    Aggregate Amount Beneficially Owned by Each Reporting Person
     
    3,000,000
    10
    Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
     
    11
    Percent of Class Represented by Amount in Row (9)*
     
    8.3%
    12
    Type of Reporting Person (See Instructions)

    PN
     

    1
    Names of Reporting Persons.
    I.R.S. Identification Nos. of above persons (entities only)

    Lind Global Partners II LLC

    2
    Check the Appropriate Box if a Member of a Group (See Instructions)
     
    (a) [ ]
     
    (b) [x]
    3
    SEC Use Only
    4
    Citizenship or Place of Organization.
     
    Delaware
    Number
    of Shares
    Beneficially
    Owned by
    Each
    Reporting
    Person With
    5 Sole Voting Power
     
    3,000,000
    6 Shared Voting Power
     
    0
    7 Sole Dispositive Power
     
    3,000,000
    8 Shared Dispositive Power
     
    0
    9
    Aggregate Amount Beneficially Owned by Each Reporting Person
     
    3,000,000
    10
    Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
     
    11
    Percent of Class Represented by Amount in Row (9)*
     
    8.3%
    12
    Type of Reporting Person (See Instructions)

    OO


    1
    Names of Reporting Persons.
    I.R.S. Identification Nos. of above persons (entities only)
     
    Jeff Easton

    2
    Check the Appropriate Box if a Member of a Group (See Instructions)
     
    (a) [ ]
     
    (b) [x]
    3
    SEC Use Only
    4
    Citizenship or Place of Organization.
     
    United States
    Number
    of Shares
    Beneficially
    Owned by
    Each
    Reporting
    Person With
    5 Sole Voting Power
     
    3,000,000
    6 Shared Voting Power
     
    0
    7 Sole Dispositive Power
     
    3,000,000
    8 Shared Dispositive Power
     
    0
    9
    Aggregate Amount Beneficially Owned by Each Reporting Person

    3,000,000
    10
    Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
     
    11
    Percent of Class Represented by Amount in Row (9)*
     
    8.3%
    12
    Type of Reporting Person (See Instructions)
     
    IN


    Item 1.
     
     
    (a)
    Name of Issuer
       
     
    Aridis Pharmaceuticals, Inc.
     
     
    (b)
    Address of Issuer’s Principal Executive Offices
       
     
    983 University Avenue, Bldg. B
    Los Gatos, California 95032
     
     

    Item 2.
     
     
    (a)
    Name of Person Filing
       
     
    This statement is filed by the following entities and individuals (collectively, referred to as the “Reporting Persons”):
     
    • Lind Global Fund II LP, a Delaware limited partnership;
    • Lind Global Partners II LLC, a Delaware limited liability company; and
    • Jeff Easton, an individual and a citizen of the United States of America.
     
    Lind Global Partners II LLC, the general partner of Lind Global Fund II LP, may be deemed to have sole voting and dispositive power with respect to the shares held by Lind Global Fund II LP.
     
    Jeff Easton, the managing member of Lind Global Partners II LLC, may be deemed to have sole voting and dispositive power with respect to the shares held by Lind Global Fund II LP.
     
     
    (b)
    Address of Principal Business Office or, if none, Residence
       
     
    The address of the principal business office for each of the Reporting Persons is:
     
    444 Madison Ave, Floor 41
    New York, NY 10022
     
     
    (c)
    Citizenship
       
     
    See Row 4 of cover page for each Reporting Person.
     
     
    (d)
    Title of Class of Securities
         
       
    Common Stock, par value $0.0001 per share
         
     
    (e)
    CUSIP Number
       
     
    040334104
     

    Item 3.
    If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

    Not applicable.
     
     
    Item 4.
    Ownership
     
    Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
     
     
    (a)
    Amount Beneficially Owned
       
     
     See Row 9 of cover page for each Reporting Person.
     
     
    (b)
    Percent of Class
       
     
    See Row 11 of cover page for each Reporting Person.
     

     
    (c)
    Number of shares as to which such person has:
     
       
    (i)
    sole power to vote or to direct the vote
         

    See Row 5 of cover page for each Reporting Person.
     
       
    (ii)
    shared power to vote or to direct the vote
         
     
    See Row 6 of cover page for each Reporting Person.
     
       
    (iii)
    sole power to dispose or to direct the disposition of
         

    See Row 7 of cover page for each Reporting Person.
     
       
    (iv)
    shared power to dispose or to direct the disposition of
         
     
    See Row 8 of cover page for each Reporting Person.
     
     
    Item 5.
    Ownership of Five Percent or Less of a Class
     
    If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐.
     
     

    Item 6.
    Ownership of More than Five Percent on Behalf of Another Person

    Not applicable.
     
    Item 7.
    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

    Not applicable.
     
    Item 8.
    Identification and Classification of Members of the Group

    Not applicable.
     
    Item 9.
    Notice of Dissolution of Group

    Not Applicable.
     
    Item 10.
    Certification
     
    By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
     
     
    Exhibits
    Exhibit
     
    99.1
    Joint Filing Agreement by and among the Reporting Persons.
     


    SIGNATURE
     
    After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
     
    March 20, 2023
     
    LIND GLOBAL FUND II LP
       
    By:
     
    Lind Global Partners II LLC
     
     
    its General Partner
       
    By:
     
    /s/ Jeff Easton
    Name:
     
    Jeff Easton
    Title:
     
    Managing Member
     
    LIND GLOBAL PARTNERS II LLC
       
    By:
     
    /s/ Jeff Easton
    Name:
     
    Jeff Easton
    Title:
     
    Managing Member
     
    JEFF EASTON
     
    By:
     
    /s/ Jeff Easton

    Get the next $ARDS alert in real time by email

    Chat with this insight

    Save time and jump to the most important pieces.

    Recent Analyst Ratings for
    $ARDS

    DatePrice TargetRatingAnalyst
    7/20/2021$11.00 → $19.00Buy
    HC Wainwright & Co.
    More analyst ratings

    $ARDS
    Press Releases

    Fastest customizable press release news feed in the world

    See more
    • Aridis Provides Corporate Update

      LOS GATOS, Calif., Dec. 20, 2024 (GLOBE NEWSWIRE) -- Aridis Pharmaceuticals, Inc. (OTC:ARDS) ("Aridis" or the "Company"), a biopharmaceutical company, today announced a corporate update on recent developments. Company update: The Company continues to diligently explore multiple paths to monetize its assets amidst a protracted challenging capital market and limited internal resources. During the second half of this year it has been in discussions with other pharmaceutical companies and investment firms on possible partnerships and investments in the clinical product candidates AR-301, AR-320, AR-501, and the APEX platform technology. The Company has substantially reduced its operational

      12/20/24 8:00:00 AM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Aridis Provides Corporate Update

      LOS GATOS, Calif., June 24, 2024 (GLOBE NEWSWIRE) -- Aridis Pharmaceuticals, Inc. (OTC:ARDS) ("Aridis" or the "Company"), a biopharmaceutical company, today announced a corporate update on recent developments. The Company has been in sustained discussions with other pharmaceutical companies and investment firms on possible partnerships and investments on its clinical product candidates AR- 301, AR-320, AR-501, and the APEX platform technology. The principal goal for the discussions has been to build shareholder value by out-licensing or attracting capital investments to complete the final stages of product development. A summary of the status of the major programs is further highlight

      6/24/24 5:58:04 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Aridis Pharmaceuticals Announces Third Quarter 2023 Financial Results and Business Update

      Received two grant awards from the National Institute of Allergy and Infectious Diseases, a division of the National Institutes of Health LOS GATOS, Calif., Nov. 03, 2023 (GLOBE NEWSWIRE) -- Aridis Pharmaceuticals, Inc. (OTCQB:ARDS), a biopharmaceutical company focused on the discovery and development of novel anti-infective therapies for treating life-threatening infections, today reported financial and corporate results for its third quarter ended September 30, 2023. Third Quarter Highlights Received a grant award from the National Institute of Allergy and Infectious Diseases (NIAID) division of the National Institutes of Health (NIH), in collaboration with researchers at

      11/3/23 4:15:00 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $ARDS
    SEC Filings

    See more
    • Aridis Pharmaceuticals Inc. filed SEC Form 8-K: Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities

      8-K - Aridis Pharmaceuticals, Inc. (0001614067) (Filer)

      6/27/24 4:15:22 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Aridis Pharmaceuticals Inc. filed SEC Form 8-K: Submission of Matters to a Vote of Security Holders

      8-K - Aridis Pharmaceuticals, Inc. (0001614067) (Filer)

      1/16/24 6:05:19 AM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • SEC Form DEFA14A filed by Aridis Pharmaceuticals Inc.

      DEFA14A - Aridis Pharmaceuticals, Inc. (0001614067) (Filer)

      12/18/23 9:43:08 AM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $ARDS
    Insider Purchases

    Insider purchases reveal critical bullish sentiment about the company from key stakeholders. See them live in this feed.

    See more
    • Director Patzer Eric bought $50,000 worth of Common stock purchase (714,286 units at $0.07), increasing direct ownership by 419% to 884,600 units (SEC Form 4)

      4 - Aridis Pharmaceuticals, Inc. (0001614067) (Issuer)

      6/28/24 7:32:40 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • CEO Truong Vu bought $50,000 worth of Common stock purchase (714,286 units at $0.07), increasing direct ownership by 108% to 1,378,639 units (SEC Form 4)

      4 - Aridis Pharmaceuticals, Inc. (0001614067) (Issuer)

      6/28/24 7:29:41 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $ARDS
    Large Ownership Changes

    This live feed shows all institutional transactions in real time.

    See more
    • Amendment: SEC Form SC 13G/A filed by Aridis Pharmaceuticals Inc.

      SC 13G/A - Aridis Pharmaceuticals, Inc. (0001614067) (Subject)

      11/14/24 4:46:40 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • SEC Form SC 13G/A filed by Aridis Pharmaceuticals Inc. (Amendment)

      SC 13G/A - Aridis Pharmaceuticals, Inc. (0001614067) (Subject)

      2/14/24 2:21:52 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • SEC Form SC 13G/A filed by Aridis Pharmaceuticals Inc. (Amendment)

      SC 13G/A - Aridis Pharmaceuticals, Inc. (0001614067) (Subject)

      2/13/24 8:02:49 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care

    $ARDS
    Financials

    Live finance-specific insights

    See more
    • Reviva Pharmaceuticals Holdings, Inc. and Aridis Pharmaceuticals, Inc. Interviews to Air on the RedChip Money Report(R) on Bloomberg TV

      ORLANDO, FL / ACCESSWIRE / September 22, 2023 / RedChip Companies will air interviews with Reviva Pharmaceuticals Holdings, Inc. (NASDAQ:RVPH) and Aridis Pharmaceuticals, Inc. (OTC:ARDS) on The RedChip Money Report®, a sponsored program on Bloomberg TV, this Saturday, September 23, at 7 p.m. Eastern Time (ET). Bloomberg TV is available in an estimated 73 million homes across the U.S.Access the interviews in their entirety at:Reviva Pharmaceuticals: https://www.redchip.com/assets/access/rvph_accessAridis Pharmaceuticals: https://www.redchip.com/assets/access/ards_accessAbout The RedChip Money Report®The RedChip Money Report® is produced by RedChip Companies Inc., an international Investor Rel

      9/22/23 1:30:00 PM ET
      $ARDS
      $RVPH
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Aridis Pharmaceuticals, Inc., Genetic Technologies Limited, and American Resources Corporation Interviews to Air on the RedChip Money Report® on Bloomberg TV

      ORLANDO, FL / ACCESSWIRE / September 15, 2023 / RedChip Companies will air interviews with Aridis Pharmaceuticals, Inc. (OTC:ARDS), Genetic Technologies Limited ((ASX:GTG, NASDAQ:GENE), and American Resources Corporation (NASDAQ:AREC) on The RedChip Money Report®, a sponsored program on Bloomberg TV, this Saturday, September 16, at 7 p.m. Eastern Time (ET). Bloomberg TV is available in an estimated 73 million homes across the U.S.Access the interviews in their entirety at:Aridis Pharmaceuticals: https://www.redchip.com/assets/access/ards_accessGenetic Technologies: https://www.redchip.com/assets/access/gene_accessAmerican Resources: https://www.redchip.com/assets/access/arec_accessAbout The

      9/15/23 9:00:00 AM ET
      $ARDS
      $AREC
      $GENE
      Biotechnology: Pharmaceutical Preparations
      Health Care
      Coal Mining
      Energy
    • Aridis Pharmaceuticals and Rail Vision Interviews to Air on Bloomberg TV on the RedChip Money Report(R)

      ORLANDO, FL / ACCESSWIRE / June 30, 2023 / RedChip Companies will air interviews with Aridis Pharmaceuticals, Inc. (NASDAQ:ARDS) and Rail Vision Ltd. (NASDAQ:RVSN) on The RedChip Money Report® on Bloomberg TV, this Saturday, July 1, at 7 p.m. Eastern Time (ET). Bloomberg TV is available in an estimated 73 million homes across the U.S.Access the interviews in their entirety at:Aridis Pharmaceuticals (NASDAQ:ARDS): https://www.aridispharmainfo.com/interview_accessRail Vision (NASDAQ:RVSN): https://www.rvsninfo.com/interview_accessAbout The RedChip Money Report®The RedChip Money Report® is produced by RedChip Companies Inc., an international Investor Relations and media firm with 30 years' expe

      6/30/23 9:00:00 AM ET
      $ARDS
      $RVSN
      Biotechnology: Pharmaceutical Preparations
      Health Care
      Railroads
      Industrials

    $ARDS
    Analyst Ratings

    Analyst ratings in real time. Analyst ratings have a very high impact on the underlying stock. See them live in this feed.

    See more

    $ARDS
    Insider Trading

    Insider transactions reveal critical sentiment about the company from key stakeholders. See them live in this feed.

    See more
    • HC Wainwright & Co. reiterated coverage on Aridis Pharmaceuticals with a new price target

      HC Wainwright & Co. reiterated coverage of Aridis Pharmaceuticals with a rating of Buy and set a new price target of $19.00 from $11.00 previously

      7/20/21 6:08:15 AM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Northland Securities resumed coverage on Aridis Pharmaceuticals with a new price target

      Northland Securities resumed coverage of Aridis Pharmaceuticals with a rating of Buy and set a new price target of $22.00

      2/24/21 4:13:46 AM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • Roth Capital resumed coverage on Aridis Pharmaceuticals with a new price target

      Roth Capital resumed coverage of Aridis Pharmaceuticals with a rating of Buy and set a new price target of $18.00

      1/24/21 2:54:23 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • SEC Form 4 filed by Director Hamilton John F

      4 - Aridis Pharmaceuticals, Inc. (0001614067) (Issuer)

      6/28/24 8:36:10 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • SEC Form 4 filed by Director Windham-Bannister Susan Richards

      4 - Aridis Pharmaceuticals, Inc. (0001614067) (Issuer)

      6/28/24 8:36:12 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care
    • SEC Form 4 filed by Chief Medical Officer Jafri Hasan

      4 - Aridis Pharmaceuticals, Inc. (0001614067) (Issuer)

      6/28/24 7:46:52 PM ET
      $ARDS
      Biotechnology: Pharmaceutical Preparations
      Health Care