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

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CUSIP No. 038505400		SCHEDULE 13D		Page 6 of 12

(c)

Except as described under Convertible Notes Purchase Agreement and Indenture under Item 4, no transactions in the Shares have
been effected by Grifols or Grifols Worldwide, and to the knowledge of Grifols and Grifols Worldwide, by any Schedule A Persons, since the initial filing of this Schedule 13D.

(d)

No person (other than
Grifols or Grifols Worldwide) has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares disclosed as beneficially owned by this Schedule 13D.

(e)

Not applicable.

Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer

Item 6 of this Schedule 13D is amended and supplemented as follows:

The information set forth in Items 3, 4 and 5 of this Amendment No. 1 to the Schedule 13D is incorporated in this Item 6 by
reference. Other than as described in this Amendment No. 1 to the Schedule 13D and the agreements incorporated by reference herein and set forth as exhibits hereto, Grifols and Grifols Worldwide do not have, and, to the knowledge of Grifols and
Grifols Worldwide, the Schedule A Persons do not have, any contract, arrangement, understanding or relationship (legal or otherwise) with any other person with respect to any securities of the Issuer.

Item 7. Material to Be Filed as Exhibits

Item 7 of this Schedule 13D is amended and supplemented as follows:

Exhibit 12		Joint Filing Agreement.
Exhibit 13		Securities Purchase Agreement, dated as of April 21, 2016, by and between Aradigm Corporation and the Purchasers Named on Schedules A and B thereto (incorporated by reference to Exhibit 10.1 to the Issuers Form 8-K/A filed on April 28, 2016).
Exhibit 14		Indenture, dated as of April 25, 2016, between Aradigm Corporation and U.S. Bank National Association, as Trustee (incorporated by reference to Exhibit 10.2 to the Issuers Form 8-K/A filed on April 28, 2016).
Exhibit 15		Amendment to Governance Agreement, dated as of April 21, 2016, by and between Aradigm Corporation and Grifols, S.A. (incorporated by reference to Exhibit 10.6 to the Issuers Form 8-K/A filed on April 28, 2016).

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