Current Report Filing (8-k)
22 November 2022 - 10:04PM
Edgar (US Regulatory)
0001614067
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0001614067
2022-11-21
2022-11-21
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the
Securities
Exchange Act of 1934
Date
of Report (Date of earliest event reported)
November
21, 2022
Aridis
Pharmaceuticals, Inc.
(Exact
name of registrant as specified in its charter)
| Delaware |
|
001-38630 |
|
47-2641188 |
(State or other jurisdiction
of
incorporation) |
|
(Commission
File Number) |
|
(I.
R. S. Employer
Identification No.) |
983
University Avenue, Bldg. B
Los
Gatos, California 95032
(Address
of principal executive offices, including ZIP code)
(408)
385-1742
(Registrant’s
telephone number, including area code)
(Former
name or former address, if changed since last report)
Securities
registered pursuant to Section 12(b) of the Act:
| Title
of each class: |
|
Trading
Symbol(s) |
|
Name
of each exchange on which registered: |
| Common
Stock |
|
ARDS |
|
Nasdaq
Capital Market |
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
| ☐ | Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| | |
| ☐ | Soliciting material
pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| | |
| ☐ | Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| | |
| ☐ | Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). |
Emerging
growth company ☒
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
| Item
2.02 | Results
of Operations and Financial Condition. |
On
November 21, 2022, Aridis Pharmaceuticals, Inc. issued a press release announcing financial
and corporate results for the third quarter ended September 30, 2022. A copy of the press release is furnished as Exhibit 99.1
to this Form 8-K.
The
information disclosed under this Item 2.02, including Exhibit 99.1 hereto, is being furnished and shall not be deemed “filed”
for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall it be incorporated by reference into any registration
statement or other document pursuant to the Securities Act of 1933, as amended, except as expressly set forth in such filing.
| Item
9.01. | Financial
Statements and Exhibits |
(d)
Exhibits.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
| Date:
November 21, 2022 |
ARIDIS
PHARMACEUTICALS, INC. |
| |
|
| |
/s/
Vu Truong |
| |
Vu
Truong |
| |
Chief
Executive Officer |
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