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13G Filing: Nantahala Capital Management and Arqule Inc (ARQL)

Published on March 11, 2016 at 1:09 pm by Meena Krishnamsetty in Hedge Funds, News
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Page 6 of 7 SEC Filing

Item 4(c). Number of shares as to which such person has:
 

Nantahala Capital Management, LLC
(i) Sole power to vote or direct the vote 0
(ii) Shared power to vote or to direct the vote 9,668,880
(iii) Sole power to dispose or to direct the disposition of 0
(iv) Shared power to dispose or to direct the disposition of 9,668,880
 

Each of Messrs. Harkey and Mack:
(i) Sole power to vote or direct the vote 0
(ii) Shared power to vote or to direct the vote 9,668,880
(iii) Sole power to dispose or to direct the disposition of 0
(iv) Shared power to dispose or to direct the disposition of 9,668,880
Item 5. Ownership of Five Percent or Less of a Class:
This Item 5 is not applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person:
Nantahala Capital Partners SI, LP, a fund advised by Nantahala, has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, approximately 7.5% of the outstanding shares of common stock beneficially owned by Nantahala  reported herein.  This includes options held by Nantahala Capital Partners SI, LP that may be exercised for 865,922 Shares within sixty days.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company:
Each of Messrs. Harkey and Mack is filing this Schedule 13G as a control person in respect of shares beneficially owned by Nantahala, an investment adviser as described in §240.13d-1(b)(1)(ii)(E).  See Item 4(a).
Item 8. Identification and Classification of Members of the Group:
This Item 8 is not applicable.
Item 9. Notice of Dissolution of Group:
This Item 9 is not applicable.
Item 10. Certification:

 

By signing below each Reporting Person
certifies that, to the best of such person’s knowledge and belief, the securities referred to above were acquired and are held
in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant
in any transaction having such purpose or effect.

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