0001209191-20-025382.txt : 20200422 0001209191-20-025382.hdr.sgml : 20200422 20200422190035 ACCESSION NUMBER: 0001209191-20-025382 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200420 FILED AS OF DATE: 20200422 DATE AS OF CHANGE: 20200422 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GIVEN BRUCE D CENTRAL INDEX KEY: 0001219384 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 20808858 MAIL ADDRESS: STREET 1: 4848 LOOP CENTRAL DRIVE STREET 2: SUITE 700 CITY: HOUSTON STATE: TX ZIP: 77081 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: 177 E COLORADO BLVD STREET 2: SUITE 700 CITY: PASADENA STATE: CA ZIP: 91105 BUSINESS PHONE: 626-696-4702 MAIL ADDRESS: STREET 1: 177 E COLORADO BLVD STREET 2: SUITE 700 CITY: PASADENA STATE: CA ZIP: 91105 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 2020-04-20 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001219384 GIVEN BRUCE D 177 E. COLORADO BLVD SUITE 700 PASADENA CA 91105 0 1 0 0 Chief Operating Officer Common Stock 2020-04-20 4 M 0 3800 4.75 A 862793 D Common Stock 2020-04-20 4 M 0 3700 5.19 A 866493 D Common Stock 2020-04-20 4 M 0 3456 5.20 A 869949 D Common Stock 2020-04-20 4 M 0 5300 14.54 A 875249 D Common Stock 2020-04-20 4 S 0 3800 40.00 D 871449 D Common Stock 2020-04-20 4 S 0 3700 40.00 D 867749 D Common Stock 2020-04-20 4 S 0 3456 40.00 D 864293 D Common Stock 2020-04-20 4 S 0 5300 40.00 D 858993 D Common Stock 2020-04-20 4 S 0 3454 40.00 D 855539 D Common Stock 2020-04-20 4 S 0 3805 40.00 D 851734 D Stock Option (right to buy) 4.75 2020-04-20 4 M 0 3800 0.00 D 2013-10-01 2023-09-21 Common Stock 3800 346200 D Stock Option (right to buy) 5.19 2020-04-20 4 M 0 3700 0.00 D 2012-03-01 2022-02-16 Common Stock 3700 342500 D Stock Option (right to buy) 5.20 2020-04-20 4 M 0 3456 0.00 D 2012-04-01 2021-10-26 Common Stock 3456 339044 D Stock Option (right to buy) 14.54 2020-04-20 4 M 0 5300 0.00 D 2014-03-01 2024-02-06 Common Stock 5300 333744 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 $40.00 to $40.01, 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 $40.00 to $40.02, 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 Represents first vesting date. Option vested over four years from date of grant. /S/ Bruce Given 2020-04-22