Form D · Biotechnology
ARROWHEAD RESEARCH CORP
Pasadena, CA · CIK 0000879407
Offering snapshot reported Oct 22, 2013 · SEC filing
- Reported sold
- $64M Offering amount: $64M
- Investors reported
- 11 Form D · investor count
- Minimum accepted
- $3M Reported outside-investor minimum
- First sale
- Oct 11, 2013 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Oct 22, 2013 | Initial | $64,000,000 | No comparison | 11 | SEC filing |
| May 16, 2013 | Initial | $36,000,000 | No comparison | 16 | SEC filing |
| Sep 30, 2010 | Initial | $0 | No comparison | 2 | SEC filing |
| Jan 29, 2010 | Initial | $3,222,896 | No comparison | 27 | SEC filing |
| Aug 13, 2009 | Amendment | $2,760,000 | $900,750vs Aug 3, 2009 | 26 | SEC filing |
| Aug 3, 2009 | Initial | $1,859,250 | No comparison | 12 | SEC filing |
| Feb 4, 2008 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Jun 28, 2007 | Paper | Not reported | No comparison | Not reported | SEC filing |
| Apr 13, 2006 | Paper | Not reported | No comparison | Not reported | |
| Jan 17, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $3.84M
- Finders' fees
- $0
- Form D file number
- 021-204987
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Jonathan Fassberg | 2445289 | Trout Capital LLC · CRD 131489 |
| Jefferies LLC | 2347 | Jefferies LLC · CRD 2347 |
| Piper Jaffray & Co. | 665 | Piper Jaffray & Co. · CRD 665 |
Source: Form D, filed Oct 22, 2013. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Christopher Anzalone | Director, Executive |
| Mauro Ferrari | Director |
| Edward Frykman | Director |
| Bruce Given | Executive |
| Douglass Given | Director |
| Joseph Theodore Kingsley | Executive |
| Paul Mc Donnel | Executive |
| Charles Mc Kenney | Director |
| Kenneth A. Myszkowski | Executive |
| Michael S. Perry | Director |
| Le Roy Rahn | Director |
| Robert Bruce Stewart | Director, Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
225 South Lake Avenue Suite 1050
Pasadena, CA, 91101
Pasadena, CA, 91101