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Filing Details

Accession Number:: 0001209191-19-060507
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-12-13 18:35:21
Reporting Period:: 2019-12-12

Accepted Time:: 2019-12-13 18:35:21
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	177 E. Colorado Blvd Suite 700 Pasadena CA 91105	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Disposition	2019-12-12	23,219	$66.82	2,048,684	No	4	S	Direct
Common Stock	Disposition	2019-12-12	58,059	$67.31	1,990,625	No	4	S	Direct
Common Stock	Disposition	2019-12-12	10,343	$68.51	1,980,282	No	4	S	Direct
Common Stock	Disposition	2019-12-12	8,379	$69.41	1,971,903	No	4	S	Direct
Common Stock	Disposition	2019-12-13	8,951	$65.85	1,962,952	No	4	S	Direct
Common Stock	Disposition	2019-12-13	45,577	$66.47	1,917,375	No	4	S	Direct
Common Stock	Disposition	2019-12-13	25,412	$67.30	1,891,963	No	4	S	Direct
Common Stock	Disposition	2019-12-13	3,393	$68.18	1,888,570	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct

Footnotes

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. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.
The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.00 to $67.00, 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 $67.01 to $67.99, 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 $68.02 to $69.00, 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 $69.01 to $69.95, 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 $65.61 to $66.00, 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 $66.01 to $67.00, 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 $67.01 to $67.99, 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 $68.03 to $68.47, 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 566,667 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.