Filing Details
- Accession Number:
- 0001209191-18-055999
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-10-23 19:59:55
- Reporting Period:
- 2018-10-19
- Accepted Time:
- 2018-10-23 19:59:55
- 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 |
|---|---|---|---|---|---|---|---|
| 1635893 | Brian Peter Leone | 225 S. Lake Avenue Suite 1050 Pasadena CA 91101 | Vp, Strategic Bus. Initiatives | No | 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 | 2018-10-19 | 30,000 | $2.79 | 160,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-10-19 | 34,375 | $6.15 | 194,375 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-10-19 | 66,762 | $7.75 | 261,137 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-10-19 | 131,137 | $13.49 | 130,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2018-10-19 | 30,000 | $0.00 | 30,000 | $2.79 |
| Common Stock | Stock Options | Disposition | 2018-10-19 | 34,375 | $0.00 | 34,375 | $6.15 |
| Common Stock | Stock Options | Disposition | 2018-10-19 | 66,762 | $0.00 | 66,762 | $7.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 190,000 | 2013-07-20 | 2023-07-20 | No | 4 | M | Direct |
| 155,625 | 2016-01-01 | 2026-01-01 | No | 4 | M | Direct |
| 88,863 | 2015-03-06 | 2025-03-06 | No | 4 | M | Direct |
Footnotes
- The price reported on Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $13.10 to $13.56, 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 previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions.
- Represents first vesting date. Option vests over four years from date of grant.
Billionaire Hedge Funds
