0001209191-18-059974.txt : 20181126 0001209191-18-059974.hdr.sgml : 20181126 20181126210958 ACCESSION NUMBER: 0001209191-18-059974 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181123 FILED AS OF DATE: 20181126 DATE AS OF CHANGE: 20181126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GIVEN DOUGLAS B CENTRAL INDEX KEY: 0001156207 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 181201875 MAIL ADDRESS: STREET 1: C/O NEORX CORP STREET 2: 410 WEST HARRISON ST CITY: SEATTLE STATE: WA ZIP: 98119 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 2018-11-23 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001156207 GIVEN DOUGLAS B 225 S. LAKE AVENUE SUITE 1050 PASADENA CA 91101 1 0 0 0 Common Stock 2018-11-23 4 S 0 3000 12.74 D 148130 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 $12.58 to $12.76, 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. /s/ Douglass Given 2018-11-26