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ARROWHEAD PHARMACEUTICALS, INC. — Director's Dealing 2014
Sep 30, 2014
31071_dirs_2014-09-30_27b7f908-150f-4208-988c-965a4d63b490.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ARROWHEAD RESEARCH CORP (ARWR)
CIK: 0000879407
Period of Report: 2014-09-30
Reporting Person: Lewis David L. (Chief Scientific Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-09-30 | Common Stock | M | 15000 | $2.01 | Acquired | 15000 | Direct |
| 2014-09-30 | Common Stock | S | 15000 | $15.0233 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-09-30 | Stock Option (right to buy) | $2.01 | M | 15000 | Disposed | 2023-05-06 | Common Stock (15000) | Direct |
Footnotes
F1: Represents the weighted average price at which shares were sold within a range between 14.72 and 15.12. 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.
F2: Represents first vesting date. Option vests over four years from date of grant.
F3: 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