Amended Statement of Beneficial Ownership (3/a)

Date : 08/29/2019 @ 4:37PM
Source : Edgar (US Regulatory)
Stock : Aridis Pharmaceuticals Inc (ARDS)
Quote : 5.7  0.0 (0.00%) @ 9:50PM
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Amended Statement of Beneficial Ownership (3/a)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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OMB Number: 3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Truong Vu

2. Date of Event Requiring Statement (MM/DD/YYYY)
8/13/2018 

3. Issuer Name and Ticker or Trading Symbol

Aridis Pharmaceuticals, Inc. [ARDS]

(Last)        (First)        (Middle)

C/O ARIDIS PHARMACEUTICALS, INC., 5491 OPTICAL CT.

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                          ___X___ 10% Owner
___X___ Officer (give title below)        _____ Other (specify below)
CEO, CSO, Director /

(Street)

SAN JOSE, CA 95138      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)

8/13/2018 

6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options  (1)3/6/2025 (1)Common Stock 77908 $2.89 D  
Stock Options 3/1/2017 10/20/2026 (2)Common Stock 77908 (2)$13.16 D  
Stock Options  (3)1/26/2028 (3)Common Stock 116861 $17.01 D  

Explanation of Responses:
(1) The Stock Options vest in equal installments over 48 months, beginning on January 1, 2015. The original form 3 stated that vesting began on December 31, 2014. The original form 3 also reported the expiration date as 03/16/2025.
(2) The original form 3 reported the expiration date as 10/26/2026. The original form 3 reported the amount as 23,373.
(3) The Stock Options vest in equal installments over 48 months, beginning on December 5, 2017. The original form 3 reported the expiration date as 12/05/2027.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Truong Vu
C/O ARIDIS PHARMACEUTICALS, INC.
5491 OPTICAL CT.
SAN JOSE, CA 95138
XXCEO, CSO, Director

Signatures
/s/ Vu Truong8/29/2019
**Signature of Reporting PersonDate

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