-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EHCcH4BZrAEPrtXi6AhnUMlNm7r1EjYVMYfkHVp/wCklnffMpdW1L48Lp19BDj+S Te+LWZKguZZPQ/vP39gC3Q== 0001104659-07-020659.txt : 20070320 0001104659-07-020659.hdr.sgml : 20070320 20070320133749 ACCESSION NUMBER: 0001104659-07-020659 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070319 FILED AS OF DATE: 20070320 DATE AS OF CHANGE: 20070320 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21898 FILM NUMBER: 07705722 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARROWHEAD RESEARCH CORP CENTRAL INDEX KEY: 0000879407 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 460408024 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 201 SOUTH LAKE AVENUE STREET 2: SUITE 703 CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 626-304-3400 MAIL ADDRESS: STREET 1: 201 SOUTH LAKE AVENUE STREET 2: SUITE 703 CITY: PASADENA STATE: CA ZIP: 91101 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE GROUP INC DATE OF NAME CHANGE: 20020509 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE INC DATE OF NAME CHANGE: 19940224 4 1 a4.xml 4 X0202 4 2007-03-19 0 0000879407 ARROWHEAD RESEARCH CORP ARWR 0000808722 KNOTT DAVID M 485 UNDERHILL BLVD STE 205 SYOSSET NY 11791-3419 0 0 1 0 Common Stock 752800 I By Shoshone Partners, L.P. Common Stock 4300 I By Mulsanne Partners, L.P. Common Stock 1813631 I By Knott Partners Offshore Master Fund, L.P. Common Stock 2007-03-19 4 S 0 340 3.93 D 249378 I By Managed Accounts Common Stock 2007-03-19 4 S 0 9600 3.93 D 1294100 I By Knott Partners, L.P. The Reporting Person is the managing member of Knott Partners Management LLC, which is (i) the sole general partner of Shoshone Partners, L.P., Knott Partners Offshore Master Fund, L.P. and Mulsanne Partners, L.P., and (ii) the managing general partner of Knott Partners, L.P. The Reporting Person is also a general partner of Knott Partners, L.P. The entry represents securities of the issuer held by managed accounts for which Dorset Management Corporation provides investment management services (the "Managed Accounts"). As a result of the Reporting Person's interests in Knott Partners Management, LLC and in Dorset Management Corporation, the Reporting Person has investment discretion and control of the securities represented in this entry. The Reporting Person may be deemed to beneficially own an indirect pecuniary interest in the securities represented in this entry as a result of its performance-related fee. Except with respect to Shoshone Partners, L.P. and Knott Partners, L.P., in which the Reporting Person owns a beneficial interest, the Reporting Person disclaims beneficial ownership therein except to the extent ultimately realized. Each of Shoshone Partners, L.P., Mulsanne Partners, L.P., Knott Partners Offshore Master Fund, L.P., Knott Partners, L.P. and the Managed Accounts disclaims beneficial ownership of securities reported as owned by any other party. /s/ David M. Knott 2007-03-20 -----END PRIVACY-ENHANCED MESSAGE-----