Filing Details

Accession Number:
0001209191-18-019971
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-15 18:58:19
Reporting Period:
2018-03-13
Accepted Time:
2018-03-15 18:58:19
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 Disposition 2018-03-13 100,000 $7.43 2,194,789 No 4 S Direct
Common Stock Disposition 2018-03-14 100,000 $7.44 2,094,789 No 4 S Direct
Common Stock Disposition 2018-03-15 100,000 $7.41 1,994,789 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
No 4 S Direct
Footnotes
  1. 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.
  2. The prices reported on Column 4 are a weighted average prices. The shares sold on 3/13/18 were sold in multiple transactions at prices ranging from $7.29 to $7.56, inclusive. The shares sold on 3/14/18 were sold in multiple transactions at prices ranging from $7.26 to $7.69, inclusive. The shares sold on 3/15/18 were sold in multiple transactions at prices ranging from $7.40 to $7.51, 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.
  3. Includes a total of 1,186,000 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.