Current Report Filing (8-k)
June 27 2022 - 4:47PM
Edgar (US Regulatory)
0001614067
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2022-06-21
2022-06-21
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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)
June 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
(Registrants 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 x
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 4.01 | Change in Registrant’s Certifying Accountant |
On June 21, 2022, Aridis Pharmaceuticals, Inc.
(the “Company”) dismissed Mayer Hoffman McCann P.C. (“MHM”) as the Company’s independent registered
public accounting firm, effective immediately. On June 27, 2022, the Company appointed Baker Tilly US, LLP (“Baker”)
as the Company’s new independent registered public accounting firm effective as of June 27, 2022.
The Audit Committee of the board of directors of
the Company approved the dismissal of MHM and the appointment of Baker.
The reports of MHM on the Company’s financial
statements for each of fiscal years ended December 31, 2020 and 2021 did not contain an adverse opinion or a disclaimer of opinion, nor
were they qualified or modified as to uncertainty, audit scope or accounting principle.
During the fiscal years ended December 31, 2020
and 2021, and the subsequent interim period through March 31, 2022, there were no disagreements (as that term is defined in Item 304(a)(1)(iv)
of Regulation S-K and related instructions) between the Company and MHM on any matter of accounting principles or practices, financial
statement disclosure or auditing scope or procedures which disagreements, if not resolved to the satisfaction of MHM would have caused
MHM to make reference thereto in their reports on the financial statements for such years. The Company disclosed in its Form 10-K for
the fiscal year ended December 31, 2021 that its internal control over financial reporting was not effective as of December 31, 2021 due
to not being able to process and account for complex, non-routine transactions in a timely manner.
The Company provided MHM with a copy of the disclosures
it is making in this Current Report on Form 8-K and requested that MHM furnish the Company with a letter addressed to the Securities and
Exchange Commission stating whether it agrees with the statements contained herein. A copy of MHM’s letter, dated June 27, 2022
is filed as Exhibit 16.1 to this Current Report on Form 8-K.
During the fiscal year ended December 31, 2021
and the period from April 1, 2022 through June 21, 2022, neither the Company, nor anyone acting on its behalf, consulted with Baker regarding
(i) the application of accounting principles to a specified transaction, either completed or proposed, or the type of audit opinion
that may be rendered on the Company’s financial statements, and Baker did not provide either a written report or oral advice to
the Company that was an important factor considered by the Company in reaching a decision as to the accounting, auditing or financial
reporting issue, or (ii) any matter that was either the subject of a disagreement (as defined in Item 304(a)(1)(iv) of Regulation
S-K and the related instructions) or a reportable event (as described in Item 304(a)(1)(v) of Regulation S-K).
| 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: June 27, 2022 |
ARIDIS PHARMACEUTICALS, INC. |
|
|
|
/s/ Vu Truong |
|
Vu Truong |
|
Chief Executive Officer |
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