0001209191-18-049552.txt : 20180905
0001209191-18-049552.hdr.sgml : 20180905
20180905162316
ACCESSION NUMBER: 0001209191-18-049552
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180831
FILED AS OF DATE: 20180905
DATE AS OF CHANGE: 20180905
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Anzalone Christopher Richard
CENTRAL INDEX KEY: 0001423029
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38042
FILM NUMBER: 181055340
MAIL ADDRESS:
STREET 1: ARROWHEAD RESEARCH CORPORATION
STREET 2: 201 SOUTH LAKE AVENUE, SUITE 703
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-08-31
0
0000879407
ARROWHEAD PHARMACEUTICALS, INC.
ARWR
0001423029
Anzalone Christopher Richard
225 S. LAKE AVENUE
SUITE 1050
PASADENA
CA
91101
1
1
0
0
Chief Executive Officer
Common Stock
2018-08-31
4
S
0
100000
14.45
D
1868789
D
Common Stock
2018-09-04
4
S
0
64834
14.45
D
1803955
D
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.
The price reported on Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.40 to $14.54, 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. The shares were sold in multiple transactions at prices ranging from $14.35 to $14.65, 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 a total of 856,333 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.
/s/ Chris Anzalone
2018-09-05