ArQule, Inc.
ARQULE INC (Form: 10-Q/A, Received: 11/18/2009 16:38:59)

 

 

SECURITIES AND EXCHANGE COMMISSION

Washington, DC  20549

 

FORM 10-Q/A

(Amendment No. 1)

 

o          Quarterly report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

For the Quarter Ended September 30, 2009

 

Commission File No. 000-21429

 

ArQule, Inc.

(Exact Name of Registrant as Specified in its Charter)

 

Delaware

 

04-3221586

(State of Incorporation)

 

(I.R.S. Employer Identification Number)

 

19 Presidential Way, Woburn, Massachusetts 01801

(Address of Principal Executive Offices)

 

(781) 994-0300

(Registrant’s Telephone Number, including Area Code)

 

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.       Yes  x   No  o

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (Section 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).    Yes  o   No  o

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer,” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):

 

Large accelerated filer o

 

Accelerated filer  x

 

 

 

Non-accelerated filer o

 

Smaller reporting company  o

(Do not check if a smaller reporting company)

 

 

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).  Yes  o   No  x

 

Number of shares outstanding of the registrant’s Common Stock as of October 30, 2009:

 

Common Stock, par value $.01

 

44, 668,240 shares outstanding

 

 

 


 

Explanatory Note

 

ArQule, Inc. (the “Registrant”) is filing this Amendment No. 1 on Form 10-Q/A to amend its quarterly report on Form 10-Q for the quarterly period ended September 30, 2009, as filed with the Securities and Exchange Commission on November 6, 2009 (the “Original Filing”).  The Registrant is filing this amendment to its Original Filing to correct the date in the Certification of its Chief Executive Officer and its Principal Financial Officer required under Section 906 of the Sarbanes-Oxley Act, filed as Exhibit 32 in the Original Filing.  The Certification in the Original Filing stated that it was for the Quarterly Report of ArQule, Inc. on Form 10-Q for the quarter ending June 30, 2009.  This Amendment No. 1 changes Exhibit 32 to state that this certification is for the quarterly report of ArQule, Inc. on Form 10-Q for the quarter ended September 30, 2009.

 

Except as indicated above, no other information in the Original Filing is amended by this Amendment No. 1.  In addition, this Amendment No. 1 does not otherwise update information in the Original Filing to reflect facts or events occurring subsequent to the date of the Original Filing.

 

Part II—OTHER INFORMATION

 

ITEM 6. EXHIBITS

 

EXHIBIT
NO.

 

DESCRIPTION

31.1

 

Rule 13a-14(a) Certificate of Chief Executive Officer, filed as Exhibit 31.1 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2009 filed with the Commission on November 6, 2009 (File No. 000-21429) and incorporated herein by reference.

31.2

 

Rule 13a-14(a) Certificate of Principal Financial Officer, filed as Exhibit 31.2 to the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2009 filed with the Commission on November 6, 2009 (File No. 000-21429) and incorporated herein by reference.

32

 

Rule 13a-14(b) Certificate of Chief Executive Officer and Chief Financial Officer, filed herewith.

 

2



 

ARQULE, INC.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

 

 

ArQule, Inc.

 

 

 

 

 

 

Date: November 18, 2009

 

/s/ PETER S. LAWRENCE

 

 

Peter S. Lawrence
President and Chief Operating Officer
(Principal Financial Officer)

 

 

 

 

 

/s/ ROBERT J. WEISKOPF

 

 

Robert J. Weiskopf
Vice President of Finance,
Corporate Controller and Treasurer
(Principal Accounting Officer)

 

3


Exhibit 32

 

ARQULE, INC.

 

CERTIFICATE OF THE CHIEF EXECUTIVE OFFICER AND

PRINCIPAL FINANCIAL OFFICER

 

The undersigned, Paolo Pucci Chief Executive Officer (Principal Executive Officer) of ArQule, Inc. (the “Company”) and Peter S. Lawrence, President and Chief Operating Officer (Principal Financial Officer), of the Company, both duly elected and currently serving, hereby certify that, to the best of his or her knowledge:

 

1.                the quarterly report on Form 10-Q for the period ending September 30, 2009, filed on behalf of the Company pursuant to the Securities Exchange Act of 1934 (the “Exchange Act”) and containing the financial statements of the Company, fully complies with the requirements of section 13(a) of the Exchange Act; and

 

2.                the information contained in such quarterly report fairly presents, in all material respects, the financial condition and results of operations of the Company for the dates and periods covered by such quarterly report.

 

This certification accompanies the Company’s Quarterly Report on Form 10-Q for the period ended September 30, 2009, pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (the “2002 Act”) and shall not be deemed filed by the Company for purposes of Section 18 of the Exchange Act.

 

This certification is being made for the exclusive purpose of compliance by the Principal Executive Officer and Principal Financial Officer of the Company with the requirements of Section 906 of the 2002 Act, and may not be disclosed, distributed or used by any person for any reason other than as specifically required by law.

 

IN WITNESS WHEREOF, the undersigned have executed this Certificate as of the 6th day of November 2009.

 

 

/s/ PAOLO PUCCI

 

 

Name:

Paolo Pucci

 

 

Title:

Chief Executive Officer

 

 

 

(Principal Executive Officer)

 

 

 

 

 

 

/s/ PETER S. LAWRENCE

 

 

Name:

Peter S. Lawrence

 

 

Title:

President and Chief Operating Officer

 

 

 

(Principal Financial Officer)