SEC Form 4/A · accession 0001019695-18-000021
ARQULE INC · ARQL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ran Nussbaum
Director
Period of report
May 18, 2018
Accepted (ET)
May 22, 2018 · 9:22 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001019695
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 18, 2018 | P | 8,611 | $3.29 | A | 8,611 | I | By Pontifax Fund |
| Common StockF2 | holding | — | — | — | 1,762,000 | I | By Pontifax Fund | |
| Common StockF3 | holding | — | — | — | 3,259,000 | I | By Pontifax Fund | |
| Common StockF4 | holding | — | — | — | 1,587,000 | I | By Pontifax Fund |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pontifax III Management of Fund (2011) Ltd. is the management company of Pontifax III. Mr. Nussbaum is one of the directors and shareholders of Pontifax III Management of Fund (2011) Ltd. and by virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by such entity. In that context, Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise.
- F2Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of China IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
- F3Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of Israel IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
- F4Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax 4 GP L.P. ("Pontifax GP") is the general partner of Cayman IV. Pontifax Management 4 GP (2015) Ltd. ("Management IV") is the general partner of Pontifax GP. Mr. Nussbaum is a Managing Partner of Management IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.
Remarks
Explanatory Note: This amendment to Form 4 is being filed to correct the nature of the Reporting Person's beneficial ownership in the shares of common stock.