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Filing Details

Accession Number:: 0001209191-22-009052
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2022-02-14 08:54:16
Reporting Period:: 2022-02-11

Accepted Time:: 2022-02-14 08:54:16
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	Acquisiton	2022-02-11	146,388	$5.19	4,204,022	No	4	M	Direct
Common Stock	Disposition	2022-02-11	40,853	$53.11	4,163,169	No	4	S	Direct
Common Stock	Disposition	2022-02-11	42,153	$52.28	4,121,016	No	4	S	Direct
Common Stock	Disposition	2022-02-11	61,482	$50.90	4,059,534	No	4	S	Direct
Common Stock	Disposition	2022-02-11	1,900	$50.51	4,057,634	No	4	S	Direct

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

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy Common Stock)	Disposition	2022-02-11	146,388	$0.00	146,388	$5.19

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
615,033	2012-03-01	2022-02-16	No	4	M	Direct

Footnotes

The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.63 to $53.61, 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 in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.60 to $51.61, 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 in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.58 to $51.58, 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 in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.49 to $50.57, 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 2,300,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the 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 four years from date of grant.
Represents total stock options beneficially owned at various strike prices.