0000078003-15-000023.txt : 20150501 0000078003-15-000023.hdr.sgml : 20150501 20150501163725 ACCESSION NUMBER: 0000078003-15-000023 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20150501 DATE AS OF CHANGE: 20150501 GROUP MEMBERS: PFIZER HOLDINGS EUROPE SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48819 FILM NUMBER: 15824873 BUSINESS ADDRESS: STREET 1: 19 PRESIDENTIAL WAY CITY: WOBURN STATE: MA ZIP: 01801 BUSINESS PHONE: 781-994-0300 MAIL ADDRESS: STREET 1: 19 PRESIDENTIAL WAY CITY: WOBURN STATE: MA ZIP: 01801 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PFIZER INC CENTRAL INDEX KEY: 0000078003 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 135315170 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 235 E 42ND ST CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125732323 MAIL ADDRESS: STREET 1: 235 E 42ND ST CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: PFIZER CHARLES & CO INC DATE OF NAME CHANGE: 19710908 SC 13D/A 1 pf13daar.htm SCHEDULE 13D AMENDMENT Schedule 13DA


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 3)*



(Name of Issuer)

ARQULE, INC.
(Title of Class of Securities)

04269E107
(CUSIP Number)

Margaret M. Madden, Esq.
Vice President and Corporate Secretary,
Chief Governance Counsel
Pfizer Inc.
235 East 42nd Street
New York, New York 10017
(212) 733-2323

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

June 13, 2007

(Date of Event which Requires Filing of this Statement)

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. |_|
 
Note:  Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits.  See § 240.13d-7 for other parties to whom copies are to be sent.
 
*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.  

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

CUSIP No. 04269E107

1. Names of Reporting Persons IRS Identification Nos. of above persons (entities only)
Pfizer Inc.  13-5315170

2. Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

(b)        |X|

3. SEC Use Only ........................................................................................

4. Source of Funds (See Instructions)   WC

5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

6. Citizenship or Place of Organization Delaware

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY EACH REPORTING

PERSON WITH

7. Sole Voting Power    0
8. Shared Voting Power   3,273,679(1)
9. Sole Dispositive Power  0
10. Shared Dispositive Power   3,273,679(1)

11. Aggregate Amount Beneficially Owned by Each Reporting Person  3,273,679(1)

12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

13. Percent of Class Represented by Amount in Row (11)   5.2%

14. Type of Reporting Person (See Instructions) CO


CUSIP No. 04269E107

1. Names of Reporting Persons IRS Identification Nos. of above persons (entities only)
Pfizer Holdings Europe

2. Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

(b)        |X|

3. SEC Use Only ........................................................................................

4. Source of Funds (See Instructions)   WC

5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

6. Citizenship or Place of Organization Republic of Ireland

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY EACH REPORTING

PERSON WITH

7. Sole Voting Power    0
8. Shared Voting Power   3,273,679(1)
9. Sole Dispositive Power  0
10. Shared Dispositive Power   3,273,679(1)

11. Aggregate Amount Beneficially Owned by Each Reporting Person  3,273,679(1)

12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

13. Percent of Class Represented by Amount in Row (11)   5.2%

14. Type of Reporting Person (See Instructions) CO

(1) Amount consists of 3,273,679 shares of the Issuer’s Common Stock held by Pfizer Holdings Europe. Pfizer Inc. may be deemed to have beneficial ownership over such shares since Pfizer Holdings Europe is a wholly owned subsidiary of Pfizer Inc.

This Amendment No. 3 (this “Amendment No. 3”) amends and supplements the statement on Schedule 13D originally filed by Pfizer Inc. (“Pfizer”) and Pfizer Holdings Europe (“PHE”) with the U.S. Securities and Exchange Commission on March 24, 2003 (the “Original Schedule 13D”), as amended by Amendment No. 1 to the Schedule 13D, filed on December 22, 2003 (“Amendment No. 1”), and Amendment No. 2 to the Schedule 13D, filed on February 14, 2006 (“Amendment No. 2” and, with the Original Schedule 13D and Amendment No. 1, the “Schedule 13D”) and relates to the common stock, par value $0.01 per share (“Common Stock”), of ArQule, Inc. (the “Issuer”). This Amendment No. 3 is being filed to update the percentage of Common Stock of the Issuer beneficially owned by Pfizer and PHE as a result of dilution due to equity issuances by the Issuer.  Except as specifically provided herein, this Amendment No. 3 does not modify any of the information previously reported on the Schedule 13D.  Unless otherwise indicated, each capitalized term used but not defined herein shall have the meaning assigned to such term in the Schedule 13D.

Item 2.                        Identity and Background

Item 2 is hereby amended and supplemented as follows:

This Amendment No. 3 is filed on behalf of Pfizer, a Delaware corporation, and PHE, a wholly owned subsidiary of Pfizer and a corporation organized under the laws of the Republic of Ireland (collectively, the “Reporting Persons”).  Pfizer is a research-based, global pharmaceutical company.  PHE provides inter-company financial services to affiliated companies.  The principal address of Pfizer is 235 East 42nd Street, New York, New York 10017.  The principal address of PHE is Pfizer Dublin Treasury Centre, Watermarque Building, Ringsend Rd., Dublin 4, Ireland 

Set forth on Schedule A hereto, which is incorporated herein by reference, is the name, business address, principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted and citizenship of each of Pfizer’s and PHE’s directors and executive officers.

During the past five years, neither Pfizer or PHE, nor, to their knowledge, any of their directors or executive officers, has been (i) convicted in a criminal proceeding (excluding traffic violations and similar misdemeanors), or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

Item 4.                        Purpose of the Transaction

Item 4 is hereby amended and supplemented as follows:

PHE acquired the shares of Common Stock reported on this schedule for investment purposes, and such investment was made in PHE’s ordinary course of business. In pursuing such investment purposes, the Reporting Persons may further purchase, hold, vote, trade, dispose or otherwise deal in the Common Stock at times, and in such manner (including pursuant to hedging transactions), as they deem advisable to benefit from changes in market prices of the Common Stock, changes in the Issuer’s operations, business strategy or prospects, or from a sale or merger of the Issuer. To evaluate such alternatives, the Reporting Persons routinely will monitor the Issuer’s operations, prospects, business development, management, competitive and strategic matters, capital structure, and prevailing market conditions, as well as alternative investment opportunities, liquidity requirements of the Reporting Persons, and other investment considerations. Consistent with their investment research methods and evaluation criteria, the Reporting Persons may discuss such matters with management or directors of the Issuer, other shareholders, industry analysts, existing or potential strategic partners or competitors, investment and financing professionals, sources of credit, and other investors. Such factors and discussions may materially affect, and result in, the Reporting Persons modifying their ownership of the Common Stock, exchanging information with the Issuer pursuant to appropriate confidentiality or similar agreements, proposing changes in the Issuer’s operations, governance or capitalization, or in proposing one or more of the other actions described in paragraphs (a) through (j) of Item 4 of Schedule 13D. The Reporting Persons reserve the right to formulate other plans and/or make other proposals and take such actions with respect to their investment in the Issuer, including any or all of the actions set forth in paragraphs (a) through (j) of Item 4 of Schedule 13D, or acquire additional Common Stock or dispose of all Common Stock held by PHE, in public market or privately negotiated transactions. The Reporting Persons may at any time reconsider and change their plans or proposals relating to the foregoing.

Item 5.                        Interest in Securities of the Issuer

Item 5 is hereby amended and supplemented as follows:

(a) The information set forth on the cover pages to this Amendment No. 3 is incorporated herein by reference.

(b) The information set forth on the cover pages to this Amendment No. 3 is incorporated herein by reference.

(c) Neither Pfizer nor PHE has engaged in any transactions with respect to the Issuer’s Common Stock in the past 60 days.

(d) Not applicable.

(e) Not applicable.

Neither Pfizer nor PHE has transacted in the Issuer’s Common Stock since the filing of Amendment No. 2.  As a result primarily of underwritten public offerings of Common Stock by the Issuer in June and July 2007, January 2011 and May 2012, PHE’s ownership in the Issuer as reported on the Schedule 13D has been diluted.

The ownership percentage set forth in Row 11 of the cover pages hereto has been calculated based on an assumed total of 62,819,191 shares of Common Stock outstanding as of March 27, 2015, as reported in the Issuer’s Definitive Proxy Statement on Schedule 14A filed on April 2, 2015.

 

Item 7.                        Material to be Filed as Exhibits

The following documents are filed as exhibits to this Amendment No. 3:

Exhibit 99.1 – Joint Filing Agreement between Pfizer Inc. and Pfizer Holdings Europe, dated May 1, 2015.

 


Signature

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 

Dated: May 1, 2015

Pfizer Inc.

By: /s/ Susan Grant
Name: Susan Grant
Title: Assistant Secretary Pfizer Inc.

Pfizer Holdings Europe

By: /s/ Brian Byala
Name: Brian Byala
Title: Director



 

Schedule A

 

DIRECTORS AND EXECUTIVE OFFICERS OF PFIZER INC. AND PFIZER HOLDINGS EUROPE

Set forth below is the name, business address and present occupation or employment of each director and executive officer of Pfizer Inc. and Pfizer Holdings Europe. Except as indicated below, each such person is a citizen of the United States.

DIRECTORS OF PFIZER INC.

NAME

PRINCIPAL OCCUPATION
OR EMPLOYMENT

ADDRESS

Dennis A. Ausiello

Director – Center of Assessment Technology and Continuous Health (CATCH)
Physician-in-Emeritus – Massachusetts General Hospital

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

W. Don Cornwell

Founder and Retired Chairman and CEO – Granite Broadcasting Corporation

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

Frances D. Fergusson

President Emeritus – Vassar College

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

Helen H. Hobbs

Investigator – Howard Hughes Medical Institute

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

James M. Kilts

Founding Partner – Centerview Capital

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

Shantanu Narayen

President and CEO – Adobe Systems Inc.

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

Suzanne Nora Johnson

Former Vice Chairman – The Goldman Sachs Group, Inc.

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

Ian C. Read

Chairman and CEO – Pfizer Inc.

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

Stephen W. Sanger

Retired Chairman and CEO – General Mills Inc.

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

James C. Smith

CEO – Thomson Reuters

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

Marc Tessier-Lavigne

President – The Rockefeller University

c/o Pfizer Inc.
235 East 42nd Street
New York, NY  10017

 

EXECUTIVE OFFICERS OF PFIZER INC.

NAME

POSITION

ADDRESS

Ian C. Read

Chairman and Chief Executive Officer

235 East 42nd St.
New York, NY 10017

Albert Bourla
Citizen of Greece

Group President, Vaccines, Oncology and Consumer Healthcare

235 East 42nd St.
New York, NY 10017

Frank A. D’Amelio

Executive Vice President, Business Operations and Chief Financial Officer

235 East 42nd St.
New York, NY 10017

Mikael Dolsten, M.D., Ph.D.

President, Worldwide Research and Development

235 East 42nd St.
New York, NY 10017

Geno J. Germano

Group President, Global Innovative Pharma Business

235 East 42nd St.
New York, NY 10017

Charles H. Hill

Executive Vice President, Worldwide Human Resources

235 East 42nd St.
New York, NY 10017

Rady A. Johnson

Executive Vice President, Chief Compliance and Risk Officer

235 East 42nd St.
New York, NY 10017

Douglas M. Lankler

Executive Vice President and General Counsel

235 East 42nd St.
New York, NY 10017

Freda C. Lewis-Hall, M.D.

Executive Vice President, Chief Medical Officer

235 East 42nd St.
New York, NY 10017

Anthony J. Maddaluna

Executive Vice President; President, Pfizer Global Supply

235 East 42nd St.
New York, NY 10017

Laurie J. Olson

Executive Vice President, Strategy, Portfolio and Commercial Operations

235 East 42nd St.
New York, NY 10017

Sally Susman

Executive Vice President, Corporate Affairs

235 East 42nd St.
New York, NY 10017

John D. Young

Group President, Global Established Pharma Business

235 East 42nd St.
New York, NY 10017

 


DIRECTORS AND EXECUTIVE OFFICERS OF PFIZER HOLDINGS EUROPE

NAME

PRINCIPAL OCCUPATION
OR EMPLOYMENT

ADDRESS

Brian Byala

Pfizer Inc. – Senior Vice President & Treasurer

235 East 42nd St.
New York, NY 10017

Neal Masia

Pfizer Inc. – Vice President, Global Economics and Assistant Treasurer

235 East 42nd St.
New York, NY 10017

Ciaran Murphy
Citizen of Ireland

Senior Director

Pfizer Dublin Treasury Centre
Watermarque Building
Ringsend Rd
Dublin 4, Ireland


 

 


EX-99.1 2 ex1arq.htm EXHIBIT 99.1 Exhibit

Exhibit 99.1

                                    

 

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that this Statement on Schedule 13D, as amended, relating to the beneficial ownership of common stock, par value $0.01 per share, of ArQule, Inc. is being filed with the Securities and Exchange Commission on behalf of each of them. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument.

Dated: May 1, 2015
 
 


 

 

PFIZER INC.
 

 

 

By: 

/s/ Susan Grant

 

 

 

 

Name: Susan Grant

 

 

 

 

Title: Assistant Secretary

 

 


 

 

PFIZER HOLDINGS EUROPE
 

 

 

By: 

/s/ Brian Byala

 

 

 

 

Name: Brian Byala

 

 

 

 

Title: Director