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