0001209191-20-062797.txt : 20201210
0001209191-20-062797.hdr.sgml : 20201210
20201210190752
ACCESSION NUMBER: 0001209191-20-062797
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201208
FILED AS OF DATE: 20201210
DATE AS OF CHANGE: 20201210
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: 201381782
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: 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
2020-12-08
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
2020-12-08
4
M
0
16324
2.01
A
2521561
D
Common Stock
2020-12-08
4
S
0
16324
67.97
D
2505237
D
Common Stock
2020-12-09
4
M
0
38676
2.01
A
2543913
D
Common Stock
2020-12-09
4
S
0
16726
67.27
D
2527187
D
Common Stock
2020-12-09
4
S
0
12067
69.80
D
2515120
D
Common Stock
2020-12-09
4
S
0
5880
70.87
D
2509240
D
Common Stock
2020-12-09
4
S
0
4003
71.61
D
2505237
D
Stock Option (right to buy)
2.01
2020-12-08
4
M
0
16324
0.00
D
2013-06-01
2023-05-06
Common Stock
16324
879219
D
Stock Option (right to buy)
2.01
2020-12-09
4
M
0
38676
0.00
D
2013-06-01
2023-05-06
Common Stock
38676
840543
D
The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.50 to
$68.29, 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 $68.26 to $69.26, 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 $69.27 to $70.25, 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 $70.32 to $71.30, 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 $71.33 to $72.13, 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 900,000 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.
Represents first vesting date. Option vested over four years from date of grant.
/s/Christopher Anzalone
2020-12-10