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ARROWHEAD PHARMACEUTICALS, INC. — Director's Dealing 2014
Jun 11, 2014
31071_dirs_2014-06-10_baa5f793-62a8-4c98-a432-318886659bb9.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: 2014-06-09
Reporting Person: McKenney Charles (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-06-09 | Common Stock | M | 12000 | $2.19 | Acquired | 29220 | Direct |
| 2014-06-09 | Common Stock | M | 10000 | $2.62 | Acquired | 39220 | Direct |
| 2014-06-09 | Common Stock | S | 22000 | $14.3184 | Disposed | 17220 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-06-09 | Stock Option (right to buy) | $2.19 | M | 12000 | Disposed | 2023-03-21 | Common Stock (12000) | Direct |
| 2014-06-09 | Stock Option (right to buy) | $2.62 | M | 10000 | Disposed | 2022-09-28 | Common Stock (10000) | Direct |
Footnotes
F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
F2: Represents the weighted average price at which shares were sold within a range between $14.25 and $14.45. 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.
F3: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions.