Filing Details

Accession Number:
0001181431-15-000623
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-01-07 17:50:18
Reporting Period:
2015-01-05
Filing Date:
2015-01-07
Accepted Time:
2015-01-07 17:50:18
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 2015-01-05 15,000 $2.01 15,000 No 4 M Direct
Common Stock Disposition 2015-01-05 15,000 $8.01 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2015-01-05 15,000 $0.00 15,000 $2.01
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
287,500 2013-06-01 2023-05-06 No 4 M Direct
Footnotes
  1. Represents the weighted average price at which shares were sold within a range between $8.00 and $8.03. 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.
  2. Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
  3. Represents first vesting date. Option vests over four years from date of grant.