0001209191-19-059171.txt : 20191204
0001209191-19-059171.hdr.sgml : 20191204
20191204184815
ACCESSION NUMBER: 0001209191-19-059171
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191202
FILED AS OF DATE: 20191204
DATE AS OF CHANGE: 20191204
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: 191269167
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
2019-12-02
0
0000879407
ARROWHEAD PHARMACEUTICALS, INC.
ARWR
0001423029
Anzalone Christopher Richard
177 E. COLORADO BLVD
SUITE 700
PASADENA
CA
91105
1
1
0
0
Chief Executive Officer
Common Stock
2019-12-02
4
S
0
5743
66.58
D
2116160
D
Common Stock
2019-12-02
4
S
0
7193
67.63
D
2108967
D
Common Stock
2019-12-02
4
S
0
8510
68.50
D
2100457
D
Common Stock
2019-12-02
4
S
0
6617
69.50
D
2093840
D
Common Stock
2019-12-02
4
S
0
2448
70.72
D
2091392
D
Common Stock
2019-12-02
4
S
0
3800
72.13
D
2087592
D
Common Stock
2019-12-02
4
S
0
3656
72.95
D
2083936
D
Common Stock
2019-12-03
4
S
0
4011
60.73
D
2079925
D
Common Stock
2019-12-03
4
S
0
8022
62.00
D
2071903
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. These shares were sold in multiple transactions at prices ranging from $66.00 to $67.00, 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. These shares were sold in multiple transactions at prices ranging from $67.05 to $68.04, 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. These shares were sold in multiple transactions at prices ranging from $68.08 to $69.08, 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. These shares were sold in multiple transactions at prices ranging from $69.12 to $69.93, 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. These shares were sold in multiple transactions at prices ranging from $70.46 to $71.44, 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. These shares were sold in multiple transactions at prices ranging from $71.52 to $72.51, 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. These shares were sold in multiple transactions at prices ranging from $72.53 to $73.40, 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. These shares were sold in multiple transactions at prices ranging from $60.60 to $60.85, 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 933,333 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/ Christopher Anzalone
2019-12-04