0001209191-18-005939.txt : 20180129 0001209191-18-005939.hdr.sgml : 20180129 20180129195119 ACCESSION NUMBER: 0001209191-18-005939 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180125 FILED AS OF DATE: 20180129 DATE AS OF CHANGE: 20180129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Li Zhen CENTRAL INDEX KEY: 0001729510 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 18557243 MAIL ADDRESS: STREET 1: 225 S. LAKE AVENUE STREET 2: SUITE 1050 CITY: PASADENA STATE: CA ZIP: 91101 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARROWHEAD PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0000879407 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 460408024 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 1050 CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 626-304-3400 MAIL ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 1050 CITY: PASADENA STATE: CA ZIP: 91101 FORMER COMPANY: FORMER CONFORMED NAME: ARROWHEAD RESEARCH CORP DATE OF NAME CHANGE: 20040112 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE GROUP INC DATE OF NAME CHANGE: 20020509 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE INC DATE OF NAME CHANGE: 19940224 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-01-25 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001729510 Li Zhen 225 S. LAKE AVE SUITE 1050 PASADENA CA 91101 0 1 0 0 Snr. VP, Chemistry and Mfg Common Stock 167200 D Stock Option 16.33 2014-03-27 2024-03-27 Common Stock 60000 D Stock Option 5.45 2014-12-10 2024-12-10 Common Stock 47500 D Stock Option 6.15 2016-01-01 2026-01-01 Common Stock 50000 D Includes a total of 150,000 shares underlying restricted stock units. 85,000 of these restricted stock units will vest in January 2019, and the remaining 65,000 will vest in 4 equal annual tranches beginning in January 2019. Option vests and becomes exercisable over a four year period from date of grant. /s/ Zhen Li 2018-01-29