0001104659-19-074982.txt : 20191220 0001104659-19-074982.hdr.sgml : 20191220 20191220160821 ACCESSION NUMBER: 0001104659-19-074982 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191218 FILED AS OF DATE: 20191220 DATE AS OF CHANGE: 20191220 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWARTZ BRIAN CENTRAL INDEX KEY: 0001431322 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21429 FILM NUMBER: 191301410 MAIL ADDRESS: STREET 1: C/O ARQULE, INC. STREET 2: 1 WALL STREET, 6TH FLOOR CITY: BURLINGTON STATE: MA ZIP: 01803 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARQULE INC CENTRAL INDEX KEY: 0001019695 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 043221586 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE WALL STREET STREET 2: FLOOR 6 CITY: BURLINGTON STATE: MA ZIP: 01803 BUSINESS PHONE: 781-994-0300 MAIL ADDRESS: STREET 1: ONE WALL STREET STREET 2: FLOOR 6 CITY: BURLINGTON STATE: MA ZIP: 01803 4 1 tm1926797d1_4.xml OWNERSHIP DOCUMENT X0306 4 2019-12-18 0 0001019695 ARQULE INC ARQL 0001431322 SCHWARTZ BRIAN C/O ARQULE, INC. 1 WALL STREET, 6TH FLOOR BURLINGTON MA 01803 0 1 0 0 Chief Medical Officer Common Stock 2019-12-18 4 M 0 90000 3.42 A 207287 D Common Stock 2019-12-18 4 M 0 96922 7.95 A 304209 D Common Stock 2019-12-18 4 M 0 64124 2.51 A 368333 D Common Stock 2019-12-18 4 M 0 100000 1.79 A 468333 D Common Stock 2019-12-18 4 F 0 178495 20.11 D 289838 D Stock Options (Right to Buy) 3.42 2019-12-18 4 M 0 90000 0 D 2014-01-21 2020-01-21 Common Stock 90000 0 D Stock Options (Right to Buy) 7.95 2019-12-18 4 M 0 96922 0 D 2016-02-01 2022-02-01 Common Stock 96922 0 D Stock Options (Right to Buy) 2.51 2019-12-18 4 M 0 64124 0 D 2017-01-14 2023-01-14 Common Stock 64124 0 D Stock Options (Right to Buy) 1.79 2019-12-18 4 M 0 100000 0 D 2019-01-19 2026-01-19 Common Stock 100000 0 D The Reporting Person satisfied the exercise price and applicable tax withholding by electing to have the Company retain shares otherwise issuable upon exercise of the options. No shares were sold into the market as part of this transaction, and the Reporting Person continues to hold the net shares realized from the option exercise. /s/ Peter S. Lawrence By Power of Attorney for Brian Schwartz 2019-12-20