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Filing Details

Accession Number:: 0001209191-19-009534
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-02-12 20:58:59
Reporting Period:: 2019-02-08

Accepted Time:: 2019-02-12 20:58:59
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
1219384	D Bruce Given	225 S. Lake Avenue Suite 1050 Pasadena CA 91101	Chief Operating Officer	No	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	2019-02-08	11,667	$2.62	859,523	No	4	M	Direct
Common Stock	Disposition	2019-02-08	46,167	$15.34	813,356	No	4	S	Direct
Common Stock	Acquisiton	2019-02-11	11,667	$2.62	825,023	No	4	M	Direct
Common Stock	Disposition	2019-02-11	97,167	$15.66	727,856	No	4	S	Direct
Common Stock	Disposition	2019-02-11	57,000	$16.48	670,856	No	4	S	Direct
Common Stock	Acquisiton	2019-02-12	42,500	$2.01	713,356	No	4	M	Direct
Common Stock	Disposition	2019-02-12	42,500	$17.06	670,856	No	4	S	Direct

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

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Disposition	2019-02-08	11,667	$0.00	11,667	$2.62
Common Stock	Stock Option (right to buy)	Disposition	2019-02-11	11,667	$0.00	11,667	$2.62
Common Stock	Stock Option (right to buy)	Disposition	2019-02-12	42,500	$0.00	42,500	$2.01

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
531,667	2012-10-01	2022-09-28	No	4	M	Direct
520,000	2012-10-01	2022-09-28	No	4	M	Direct
477,500	2013-06-01	2023-05-06	No	4	M	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 price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.48 to $15.48, 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 $15.23 to $16.23, 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 $17.03 to $17.21, 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.
Represents first vesting date. Option vested over four years from date of grant.