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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Options | $ 13.62 | 10/04/2007 | D(1) | 40,000 | (1) | 01/25/2012 | Common Stock | 40,000 | (10) | 0 | D | ||||
Employee Stock Options | $ 13.62 | 10/04/2007 | A(1) | 40,000 | (1) | 06/30/2011 | Common Stock | 40,000 | (10) | 40,000 | D | ||||
Employee Stock Options | $ 3.08 | 10/04/2007 | D(2) | 60,000 | (2) | 01/16/2013 | Common Stock | 60,000 | (10) | 0 | D | ||||
Employee Stock Options | $ 3.08 | 10/04/2007 | A(2) | 60,000 | (2) | 06/30/2011 | Common Stock | 60,000 | (10) | 60,000 | D | ||||
Employee Stock Options | $ 5.36 | 10/04/2007 | D(3) | 150,000 | (3) | 01/15/2014 | Common Stock | 150,000 | (10) | 0 | D | ||||
Employee Stock Option | $ 5.36 | 10/04/2007 | A(3) | 150,000 | (3) | 06/30/2011 | Common Stock | 150,000 | (10) | 150,000 | D | ||||
Employee Stock Options | $ 6.31 | 10/04/2007 | D(4) | 125,000 | (4) | 01/19/2015 | Common Stock | 125,000 | (10) | 0 | D | ||||
Employee Stock Options | $ 6.31 | 10/04/2007 | A(4) | 125,000 | (4) | 06/30/2011 | Common Stock | 125,000 | (10) | 125,000 | D | ||||
Employee Stock Option | $ 5.73 | 10/04/2007 | D(5) | 150,000 | (5) | 01/19/2016 | Common Stock | 150,000 | (10) | 0 | D | ||||
Employee Stock Options | $ 5.73 | 10/04/2007 | A(5) | 150,000 | (5) | 06/30/2011 | Common Stock | 150,000 | (10) | 150,000 | D | ||||
Employee Stock Options | $ 6.16 | 10/04/2007 | D(6) | 150,000 | (6) | 01/16/2017 | Common Stock | 150,000 | (10) | 0 | D | ||||
Employee Stock Options | $ 6.16 | 10/04/2007 | A(6) | 150,000 | (6) | 06/30/2011 | Common Stock | 150,000 | (10) | 150,000 | D | ||||
Employee Stock Options | $ 4.625 | 10/04/2007 | D(7) | 320,000 | (7) | 04/01/2009 | Common Stock | 320,000 | (10) | 0 | D | ||||
Employee Stock Options | $ 4.625 | 10/04/2007 | A(7) | 320,000 | (7) | 04/01/2009 | Common Stock | 320,000 | (10) | 320,000 | D | ||||
Employee Stock Options | $ 20.06 | 10/04/2007 | D(8) | 40,000 | (8) | 03/16/2010 | Common Stock | 40,000 | (10) | 0 | D | ||||
Employee Stock Options | $ 20.06 | 10/04/2007 | A(8) | 40,000 | (8) | 03/16/2010 | Common Stock | 40,000 | (10) | 40,000 | D | ||||
Employee Stock Options | $ 10 | 10/04/2007 | D(9) | 80,000 | (9) | 03/22/2011 | Common Stock | 80,000 | (10) | 0 | D | ||||
Employee Stock Options | $ 10 | 10/04/2007 | A(9) | 80,000 | (9) | 03/22/2011 | Common Stock | 80,000 | (10) | 80,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HILL STEPHEN A C/O ARQULE, INC. 19 PRESIDENTIAL WAY WOBURN, MA 01801 |
X | President and CEO |
Robert J. Connaughton, Jr., by Power of Attorney for Stephen A. Hill | 10/09/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on January 25, 2002 and provides for vesting in four equal installments commencing on January 25, 2003. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(2) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on January 16, 2003 and provides for vesting in four equal installments commencing on January 16, 2004. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(3) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on January 15, 2004 and provides for vesting in four equal installments commencing on January 15, 2005. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(4) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on January 19, 2005 and provides for vesting in four equal installments commencing on January 19, 2006. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(5) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on January 19, 2006 and provides for vesting in four equal installments commencing on January 19, 2007. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(6) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on January 16, 2007and provides for vesting in four equal installments commencing on January 16, 2008. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(7) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on April 1, 1999 and provides for vesting in four equal installments commencing on April 1, 2000. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(8) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on March 16, 2000 and provides for vesting in four equal installments commencing on March 16, 2001. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(9) | Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on March 22, 2001 and provides for vesting in four equal installments commencing on March 22, 2002. The amendment will extend the post termination expiration date to the earlier of the tenth anniversary of the date of grant of the option or June 30, 2011. |
(10) | Employee stock option grant. |