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)

~~September 7~~November 3, 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 32.0102 ~~Notice~~Results of ~~Delisting~~Operations orand ~~Failure~~Financial ~~to Satisfy a Continued Listing Rule or Standard; Transfer of Listing~~Condition.

On ~~September~~ 7November 3, 2023, ~~The Nasdaq Capital Market (“Nasdaq”) announced that it would delist the common stock of~~ Aridis Pharmaceuticals, Inc. ~~(the~~issued ~~“Company”).~~a ~~The~~press ~~Company’s~~release ~~securities~~announcing ~~were~~financial ~~suspended on July 19, 2023~~ and ~~have~~corporate ~~not~~results ~~been~~for ~~traded~~the onthird ~~Nasdaq~~quarter ~~since~~ended ~~that~~September ~~time.~~30, ~~The Company’s common stock currently trades on the OTC Markets Pink Sheets~~2023. ~~Nasdaq will~~A ~~file~~copy aof ~~Form 25 with~~ the ~~Securities~~ ~~and~~press ~~Exchange~~release ~~Commission~~is tofurnished ~~complete~~as ~~the~~Exhibit ~~delisting~~99.1 ~~The~~to ~~delisting~~this ~~becomes effective ten days after the~~ Form ~~25 is filed~~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.

99.1	Press Release of Aridis Pharmaceuticals, Inc. dated November 3, 2023
104	Cover Page Interactive Data File (embedded within the Inline XBRL document)

-2-

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: September 7, 2023		ARIDIS PHARMACEUTICALS, INC.
Date: November 3, 2023	ARIDIS PHARMACEUTICALS, INC.
	/s/ Vu Truong	~~/s/ Vu Truong~~
	Vu Truong	~~Vu Truong~~
	Chief Executive Officer	~~Chief Executive Officer~~

-3-

Filing Compare · Aridis Pharmaceuticals, Inc.