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)

~~August~~September 217, 2023

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).

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 1 3.0201 ~~Termination~~Notice of Delisting or Failure to Satisfy a ~~Material~~Continued ~~Definitive~~Listing ~~Agreement~~Rule or Standard; Transfer of Listing.

On ~~August~~September 217, 2023, ~~Aridis~~The ~~Pharmaceuticals,~~Nasdaq ~~Inc.~~Capital ~~(the~~Market (“~~Company~~Nasdaq”) ~~sent~~announced ~~written~~that ~~notice~~it towould ~~Shenzhen~~delist ~~Arimab~~the ~~Biopharmaceuticals~~common ~~Co.~~stock of Aridis Pharmaceuticals, ~~Ltd~~Inc. (the “~~Arimab~~Company”). ~~stating~~The ~~that~~Company’s assecurities ofwere ~~August~~suspended 21on July 19, 2023, ~~the Amended~~ and ~~Restated~~have ~~Technology~~not ~~License~~been ~~and~~traded ~~Collaboration~~on ~~Agreement~~Nasdaq since ~~between~~that ~~Arimab,~~time. aThe ~~joint~~Company’s ~~venture~~common ofstock ~~the~~currently ~~Company~~trades ~~and~~on ~~Shenzhen~~the ~~Hepalink~~OTC ~~Pharmaceutical~~Markets ~~Group~~Pink CoSheets., ~~Ltd.~~Nasdaq will ~~dated~~file asa ofForm ~~August~~25 6,with ~~2018 (~~the ~~“Agreement”)~~ ~~would~~Securities ~~terminate~~and ~~pursuant~~Exchange Commission to ~~Section~~complete 11the delisting.2 ofThe delisting becomes effective ten days after the ~~Agreement~~Form 25 is 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 hereunto duly authorized.

Date: August 25, 2023	ARIDIS PHARMACEUTICALS, INC.
Date: September 7, 2023		ARIDIS PHARMACEUTICALS, INC.
	~~/s/ Vu Truong~~	/s/ Vu Truong
	~~Vu Truong~~	Vu Truong
	~~Chief Executive Officer~~	Chief Executive Officer

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