UNITED STATES SECURITIES AND EXCHANGE COMMISSION
(Mark One)
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | |
For the quarterly period ended September 30, 2004 | ||
Or | ||
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | |
For the transition period from to . |
Aradigm Corporation
California | 94-3133088 | |
(State or other jurisdiction of | (I.R.S. Employer | |
incorporation or organization) | Identification No.) |
Indicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Exchange Act). Yes o No þ
Indicate the number of shares outstanding of each of the issuers classes of common stock, as of the latest practicable date.
Common Stock, no par value | 63,962,335 | |
(Class) | (Outstanding at October 31, 2004) |
ARADIGM CORPORATION
INDEX
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EXHIBIT 10.29 | ||||||||
EXHIBIT 31.1 | ||||||||
EXHIBIT 31.2 |
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EXPLANATORY NOTE
This amended Quarterly Report on Form 10-Q/A is being filed solely for the purpose of re-filing Exhibit 10.29 in connection with an application for confidential treatment. Exhibit 10.29 was originally filed with Aradigms Quarterly Report on Form 10-Q on November 15, 2004. The redactions to Exhibit 10.29 have been amended in accordance with a revised application for confidential treatment filed separately by Aradigm with the Securities and Exchange Commission. Aradigm has made no further changes to the previously filed quarterly report.
PART II. OTHER INFORMATION
Item 6. Exhibits
(a) Exhibits
10.29* | Restructuring Agreement, dated as of September 28, 2004, among Aradigm Corporation, Novo Nordisk A/S and Novo Nordisk Delivery Technologies, Inc. | |
31.1 | Certification by Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | |
31.2 | Certification by Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | |
32.1 | Certification by Chief Executive Officer and Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
* The Company has sought confidential treatment for portions of the referenced exhibit.
Previously filed.
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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 thereunto duly authorized.
ARADIGM CORPORATION (Registrant) |
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/s/ V. Bryan Lawlis V. Bryan Lawlis |
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President and Chief Executive Officer | ||||
/s/ Thomas C. Chesterman Thomas C. Chesterman |
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Senior Vice President and Chief Financial Officer | ||||
Dated: December 22, 2004
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INDEX TO EXHIBITS
Exhibit | ||
Number |
Description |
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10.29*
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Restructuring Agreement, dated as of September 28, 2004, among Aradigm Corporation, Novo Nordisk A/S and Novo Nordisk Delivery Technologies, Inc. | |
31.1
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Certification by Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | |
31.2
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Certification by Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | |
32.1
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Certification by Chief Executive Officer and Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
* The Company has sought confidential treatment for portions of the referenced exhibit.
Previously filed.
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