Filing Details
- Accession Number:
- 0001181431-14-001415
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-01-06 17:37:08
- Reporting Period:
- 2014-01-02
- Filing Date:
- 2014-01-06
- Accepted Time:
- 2014-01-06 17:37:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 879407 | Arrowhead Research Corp | ARWR | Services-Commercial Physical & Biological Research (8731) | 460408024 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1595838 | L. David Lewis | Arrowhead Research Corporation 225 S. Lake Avenue, Suite 1050 Pasadena CA 91101 | Chief Scientific Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-01-02 | 10,000 | $4.60 | 10,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-01-02 | 2,500 | $5.19 | 12,500 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-01-02 | 2,500 | $2.62 | 15,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-01-02 | 15,000 | $10.29 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option | Disposition | 2014-01-02 | 10,000 | $0.00 | 10,000 | $4.60 |
| Common Stock | Stock Option | Disposition | 2014-01-02 | 2,500 | $0.00 | 2,500 | $5.19 |
| Common Stock | Stock Option | Disposition | 2014-01-02 | 2,500 | $0.00 | 2,500 | $2.62 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 202,500 | 2011-11-01 | 2021-10-21 | No | 4 | M | Direct |
| 200,000 | 2012-03-01 | 2022-02-16 | No | 4 | M | Direct |
| 197,500 | 2012-10-01 | 2022-09-28 | No | 4 | M | Direct |
Footnotes
- Includes previously reported common stock options which are subject to certain vesting conditions
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