0001209191-19-060507.txt : 20191213 0001209191-19-060507.hdr.sgml : 20191213 20191213183521 ACCESSION NUMBER: 0001209191-19-060507 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191212 FILED AS OF DATE: 20191213 DATE AS OF CHANGE: 20191213 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: 191285612 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 2019-12-12 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 2019-12-12 4 S 0 23219 66.82 D 2048684 D Common Stock 2019-12-12 4 S 0 58059 67.31 D 1990625 D Common Stock 2019-12-12 4 S 0 10343 68.51 D 1980282 D Common Stock 2019-12-12 4 S 0 8379 69.41 D 1971903 D Common Stock 2019-12-13 4 S 0 8951 65.85 D 1962952 D Common Stock 2019-12-13 4 S 0 45577 66.47 D 1917375 D Common Stock 2019-12-13 4 S 0 25412 67.30 D 1891963 D Common Stock 2019-12-13 4 S 0 3393 68.18 D 1888570 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. 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 $67.01 to $67.99, 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 $68.02 to $69.00, 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 $69.01 to $69.95, 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 $65.61 to $66.00, 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 $66.01 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 $67.01 to $67.99, 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 $68.03 to $68.47, 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 566,667 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 2019-12-13