0001209191-18-050356.txt : 20180910 0001209191-18-050356.hdr.sgml : 20180910 20180910183244 ACCESSION NUMBER: 0001209191-18-050356 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180906 FILED AS OF DATE: 20180910 DATE AS OF CHANGE: 20180910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Myszkowski Kenneth Allen CENTRAL INDEX KEY: 0001486672 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 181063641 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 2018-09-06 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001486672 Myszkowski Kenneth Allen 225 S. LAKE AVENUE SUITE 1050 PASADENA CA 91101 0 1 0 0 Chief Financial Officer Common Stock 2018-09-06 4 M 0 25000 2.62 A 335815 D Common Stock 2018-09-06 4 M 0 20000 4.75 A 355815 D Common Stock 2018-09-06 4 S 0 25000 18.00 D 330815 D Common Stock 2018-09-06 4 S 0 20000 21.01 D 310815 D Stock Option (right to buy) 2.62 2018-09-06 4 M 0 25000 0.00 D 2012-09-28 2022-09-28 Common Stock 25000 263000 D Stock Option (right to buy) 4.75 2018-09-06 4 M 0 20000 0.00 D 2013-09-21 2023-09-21 Common Stock 20000 243000 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 price reported on Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $21.00 to $21.06, 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. /s/ Ken Myszkowski 2018-09-10