ARQULE INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows, 22 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-12-24: Reporting owner Nussbaum Ran; Form 4; Security Common Stock Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-12-24: Reporting owner Nussbaum Ran; Form 4; Security Common Stock Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-12-24: Reporting owner Nussbaum Ran; Form 4; Security Common Stock Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-12-16: Reporting owner Merck Sharp & Dohme Corp. | Merck & Co., Inc.; Form 3; Security Common Stock Warrants (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-12-24 | Nussbaum Ran Director | 4 | Common Stock Warrants Derivative · Indirect · By Pontifax Fund | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −445,524 0 owned after | $1.75 exercise price | 2019-12-27 | |
| 2019-12-24 | Nussbaum Ran Director | 4 | Common Stock Warrants Derivative · Indirect · By Pontifax Fund | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −823,632 0 owned after | $1.75 exercise price | 2019-12-27 | |
| 2019-12-24 | Nussbaum Ran Director | 4 | Common Stock Warrants Derivative · Indirect · By Pontifax Fund | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −400,558 0 owned after | $1.75 exercise price | 2019-12-27 | |
| 2019-12-16 holding as of filing | Merck Sharp & Dohme Corp. | Merck & Co., Inc. 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · See Footnotes | Holding | no price filed | 2019-12-16 | ||
| 2019-09-12 | Nussbaum Ran Director | 4 | Common Stock Warrants Derivative · Indirect · By Pontifax Fund | X Exercise of in-the-money or at-the-money derivative security | −30,476 445,524 owned after | $1.75 exercise price | 2019-09-16 | |
| 2019-09-12 | Nussbaum Ran Director | 4 | Common Stock Warrants Derivative · Indirect · By Pontifax Fund | X Exercise of in-the-money or at-the-money derivative security | −56,368 823,632 owned after | $1.75 exercise price | 2019-09-16 | |
| 2019-09-12 | Nussbaum Ran Director | 4 | Common Stock Warrants Derivative · Indirect · By Pontifax Fund | X Exercise of in-the-money or at-the-money derivative security | −27,442 400,558 owned after | $1.75 exercise price | 2019-09-16 | |
| 2018-06-01 holding as of filing | Biotechnology Value Trading Fund OS LP | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND L P | BVF PARTNERS L P/IL | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | LAMPERT MARK N Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | 10% Owner | Other (See Explanation of Responses) | 10% Owner | 4 | Warrants Derivative · Direct | Holding | 1,201,053 owned after | $1.75 exercise price | 2018-06-01 | |
| 2018-06-01 holding as of filing | Biotechnology Value Trading Fund OS LP | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND L P | BVF PARTNERS L P/IL | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | LAMPERT MARK N Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | 10% Owner | Other (See Explanation of Responses) | 10% Owner | 4 | Warrants Derivative · Direct | Holding | 823,231 owned after | $1.75 exercise price | 2018-06-01 | |
| 2018-06-01 holding as of filing | Biotechnology Value Trading Fund OS LP | BVF Partners OS Ltd. | BIOTECHNOLOGY VALUE FUND L P | BVF PARTNERS L P/IL | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | LAMPERT MARK N Other (See Explanation of Responses) | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | 10% Owner | Other (See Explanation of Responses) | 10% Owner | 4 | Warrants Derivative · Direct | Holding | 199,687 owned after | $1.75 exercise price | 2018-06-01 | |
| 2018-05-08 | Nussbaum Ran Director | 4 | Warrants Derivative · Indirect · By Pontifax | J Other acquisition or disposition (describe transaction) | +476,000 476,000 owned after | $1.75 exercise price | 2018-05-25 | |
| 2018-05-08 | Nussbaum Ran Director | 4 | Warrants Derivative · Indirect · By Pontifax | J Other acquisition or disposition (describe transaction) | +880,000 880,000 owned after | $1.75 exercise price | 2018-05-25 | |
| 2018-05-08 | Nussbaum Ran Director | 4 | Warrants Derivative · Indirect · By Pontifax | J Other acquisition or disposition (describe transaction) | +428,000 428,000 owned after | $1.75 exercise price | 2018-05-25 | |
| 2018-04-20 holding as of filing | BIOTECHNOLOGY VALUE FUND II LP | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BIOTECHNOLOGY VALUE FUND L P | LAMPERT MARK N | BVF INC/IL | BVF Partners OS Ltd. Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | 10% Owner | 10% Owner | Other (See Explanation of Responses) | 4 | Warrants Derivative · Direct | Holding | 1,201,053 owned after | $1.75 exercise price | 2018-04-20 | |
| 2018-04-20 holding as of filing | BIOTECHNOLOGY VALUE FUND II LP | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BIOTECHNOLOGY VALUE FUND L P | LAMPERT MARK N | BVF INC/IL | BVF Partners OS Ltd. Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | 10% Owner | 10% Owner | Other (See Explanation of Responses) | 4 | Warrants Derivative · Direct | Holding | 823,231 owned after | $1.75 exercise price | 2018-04-20 | |
| 2018-04-20 holding as of filing | BIOTECHNOLOGY VALUE FUND II LP | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL | BIOTECHNOLOGY VALUE FUND L P | LAMPERT MARK N | BVF INC/IL | BVF Partners OS Ltd. Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | 10% Owner | 10% Owner | Other (See Explanation of Responses) | 4 | Warrants Derivative · Direct | Holding | 199,687 owned after | $1.75 exercise price | 2018-04-20 | |
| 2018-04-06 holding as of filing | BVF PARTNERS L P/IL | BVF Partners OS Ltd. | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | Biotechnology Value Trading Fund OS LP 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Warrants Derivative · Direct | Holding | 1,201,053 owned after | $1.75 exercise price | 2018-04-06 | |
| 2018-04-06 holding as of filing | BVF PARTNERS L P/IL | BVF Partners OS Ltd. | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | Biotechnology Value Trading Fund OS LP 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Warrants Derivative · Direct | Holding | 823,231 owned after | $1.75 exercise price | 2018-04-06 | |
| 2018-04-06 holding as of filing | BVF PARTNERS L P/IL | BVF Partners OS Ltd. | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | Biotechnology Value Trading Fund OS LP 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 4 | Warrants Derivative · Direct | Holding | 199,687 owned after | $1.75 exercise price | 2018-04-06 | |
| 2017-10-20 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL 10% Owner | 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | 3 | Warrants Derivative · Direct | Holding | $1.75 exercise price | 2017-10-20 | ||
| 2017-10-20 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL 10% Owner | 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | 3 | Warrants Derivative · Direct | Holding | $1.75 exercise price | 2017-10-20 | ||
| 2017-10-20 holding as of filing | LAMPERT MARK N | BIOTECHNOLOGY VALUE FUND L P | BVF Partners OS Ltd. | BVF INC/IL | BIOTECHNOLOGY VALUE FUND II LP | Biotechnology Value Trading Fund OS LP | BVF PARTNERS L P/IL 10% Owner | 10% Owner | Other (See Explanation of Responses) | 10% Owner | Other (See Explanation of Responses) | Other (See Explanation of Responses) | 10% Owner | 3 | Warrants Derivative · Direct | Holding | $1.75 exercise price | 2017-10-20 |