Filing Details
- Accession Number:
- 0001181431-14-029708
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-19 17:15:31
- Reporting Period:
- 2014-08-15
- Filing Date:
- 2014-08-19
- Accepted Time:
- 2014-08-19 17:15:31
- 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 |
|---|---|---|---|---|---|---|---|
| 1486672 | Allen Kenneth Myszkowski | 225 South Lake Avenue, Suite 1050 Pasadena CA 91101 | Cfo | 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 | 2014-08-15 | 15,000 | $5.19 | 86,500 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-08-15 | 25,000 | $7.00 | 111,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-15 | 40,000 | $14.02 | 71,500 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 (right to buy) | Disposition | 2014-08-15 | 15,000 | $0.00 | 15,000 | $5.19 |
| Common Stock | Stock Option (right to buy) | Disposition | 2014-08-15 | 25,000 | $0.00 | 25,000 | $7.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 297,000 | 2012-03-01 | 2022-02-16 | No | 4 | M | Direct |
| 272,000 | 2010-05-16 | 2019-11-16 | No | 4 | M | Direct |
Footnotes
- Represents the weighted average price at which shares were sold within a range between 14.00 and 14.20. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.
- Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions.
- Represents first vesting date. Option vests over four years from date of grant.
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