Filing Details
- Accession Number:
- 0001209191-20-026230
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-04-29 19:19:47
- Reporting Period:
- 2020-04-27
- Accepted Time:
- 2020-04-29 19:19:47
- 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 | 177 E. Colorado Blvd Suite 700 Pasadena CA 91105 | Chief Operating Officer | 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 | 2020-04-27 | 200 | $5.19 | 851,934 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-04-27 | 200 | $40.00 | 851,734 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-04-27 | 100 | $40.00 | 851,634 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2020-04-28 | 500 | $7.75 | 852,134 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-04-28 | 1,454 | $14.54 | 853,588 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-04-28 | 1,200 | $4.75 | 854,788 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-04-28 | 830 | $5.19 | 855,618 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-04-28 | 213 | $5.20 | 855,831 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-04-28 | 500 | $40.00 | 855,331 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-04-28 | 1,454 | $40.00 | 853,877 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-04-28 | 1,200 | $40.00 | 852,677 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-04-28 | 830 | $40.00 | 851,847 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-04-28 | 213 | $40.00 | 851,634 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-04-28 | 204 | $40.00 | 851,430 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-04-28 | 700 | $40.00 | 850,730 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2020-04-27 | 200 | $0.00 | 200 | $5.19 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-04-28 | 500 | $0.00 | 500 | $7.75 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-04-28 | 1,454 | $0.00 | 1,454 | $14.54 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-04-28 | 1,200 | $0.00 | 1,200 | $4.75 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-04-28 | 830 | $0.00 | 830 | $5.19 |
| Common Stock | Stock Option (right to buy) | Disposition | 2020-04-28 | 213 | $0.00 | 213 | $5.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 333,544 | 2012-03-01 | 2020-02-16 | No | 4 | M | Direct |
| 333,044 | 2015-04-06 | 2025-03-06 | No | 4 | M | Direct |
| 331,590 | 2014-03-01 | 2024-02-06 | No | 4 | M | Direct |
| 330,390 | 2013-10-01 | 2023-09-21 | No | 4 | M | Direct |
| 329,560 | 2012-03-01 | 2022-02-16 | No | 4 | M | Direct |
| 329,347 | 2012-04-01 | 2021-10-26 | 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 SecuritiesExchange 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 $40.00 to$40.01, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of ArrowheadPharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of sharessold 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.
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