Filing Details
- Accession Number:
- 0001209191-19-050606
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-09-24 21:12:02
- Reporting Period:
- 2019-09-20
- Accepted Time:
- 2019-09-24 21:12:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 879407 | Arrowhead Pharmaceuticals Inc. | ARWR | Pharmaceutical Preparations (2834) | 460408024 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1423029 | Richard Christopher Anzalone | 225 S. Lake Avenue Suite 1050 Pasadena CA 91101 | Chief Executive Officer | Yes | 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 | 2019-09-20 | 4,250 | $5.10 | 2,146,153 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-20 | 4,250 | $29.00 | 2,141,903 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-09-23 | 41,755 | $5.10 | 2,183,658 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-23 | 41,755 | $29.04 | 2,141,903 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-09-24 | 66,645 | $5.10 | 2,208,548 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-09-24 | 53,972 | $28.00 | 2,154,576 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2019-09-24 | 12,673 | $29.04 | 2,141,903 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2019-09-20 | 4,250 | $0.00 | 4,250 | $5.10 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-09-23 | 41,755 | $0.00 | 41,755 | $5.10 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-09-24 | 66,645 | $0.00 | 66,645 | $5.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,110,268 | 2010-01-01 | 2019-10-08 | No | 4 | M | Direct |
| 1,068,513 | 2010-01-01 | 2019-10-08 | No | 4 | M | Direct |
| 1,001,868 | 2010-01-01 | 2019-10-08 | No | 4 | M | Direct |
Footnotes
- This option exercise was completed as the underlying option was due to expire in October 2019.
- The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.10, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4.
- The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.03, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4.
- The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.10, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4.
- Includes a total of 933,333 shares underlying restricted stock units that may be earned based on the achievement of certain performance goals. If the performance goals are not met within the required time periods, the awards will be forfeited in part or in whole.
- Represents first vesting date. Option vested over two years from date of grant.
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