---
schema_version: "secwatch.filing_event.v1"
accession: "0001493152-23-019112"
form_type: "8-K"
ticker: null
cik: "0001614067"
company_name: "Aridis Pharmaceuticals, Inc."
filed_at: "2023-05-25T23:59:59+00:00"
generated_at: "2026-06-14T14:35:46.816591+00:00"
event_type: "other_material"
sentiment: "negative"
materiality_score: 0.8
calibrated_materiality_score: 0.8
confidence: "high"
source: SEC EDGAR
---

# Aridis receives Nasdaq delisting notice for late Q1 filing; auditor Baker Tilly resigns

## Summary
- Nasdaq notified Aridis of additional delisting basis for failure to file Q1 2023 Form 10-Q; Hearings Panel to consider.
- Baker Tilly US, LLP resigned as independent auditor effective after filing of Q1 10-Q; company interviewing replacements.
- No accounting disagreements with Baker Tilly; material weakness in internal controls was previously disclosed in 2022 10-K.
- Aridis has presented its views to Nasdaq Panel regarding continued listing on the Nasdaq Capital Market.

## SEC filing metadata
- accession: 0001493152-23-019112
- form_type: 8-K
- cik: 0001614067
- company_name: Aridis Pharmaceuticals, Inc.
- filed_at: 2023-05-25T23:59:59+00:00
- event_type: other_material
- sentiment: negative
- materiality_score: 0.8
- calibrated_materiality_score: 0.8
- confidence: high
- sec_items: 3.01, 4.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1614067/000149315223019112/0001493152-23-019112-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1614067/000149315223019112/form8-k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001493152-23-019112
- JSON: https://secwatch.observer/filing/0001493152-23-019112.json
- Plain text: https://secwatch.observer/filing/0001493152-23-019112.txt

## Key facts
- Listing & Compliance Notices
  Aridis Pharmaceuticals, Inc. received a nasdaq deficiency notice notice regarding late filing.
  - Exchange: nasdaq
  - Notice: deficiency notice
  - Deficiency: late filing
  source text: May 23, 2023, Aridis Pharmaceuticals, Inc. (the “Company”) received written notice (the “ Notice ”) from the Nasdaq Stock Market, LLC (“ Nasdaq ”) indicating that Nasdaq had not received the Company’s Form 10-Q for the three months ended March 31, 2023 and this serves as an additional basis for delisting the Company’s securities from The Nasdaq Capital Market. The Notice serves as formal notification that the Nasdaq Hearings Panel (the “Panel”) will consider this matter in their decision regarding the Company’s continued listing on The Nasdaq Capital Market. In that regard, the Company has pre
  evidence_url: https://www.sec.gov/Archives/edgar/data/1614067/000149315223019112/0001493152-23-019112-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.