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
- 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.
- 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.
- Represents first vesting date. Option vests over four years from date of grant.
Billionaire Hedge Funds
