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

NAMES OF
REPORTING PERSONS

Grifols, S.A.

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

(a)  ☐        (b)  ☒

SEC USE ONLY

SOURCE OF FUNDS (SEE INSTRUCTIONS)

WC, AF

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

☐

CITIZENSHIP OR PLACE OF
ORGANIZATION

Spain

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

SOLE VOTING POWER

5,244,363

SHARED VOTING POWER

3,829,175

SOLE DISPOSITIVE POWER

5,244,363

SHARED DISPOSITIVE POWER

3,829,175

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

9,073,538

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

☐

PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)

48.3%

TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS)

CO