0001209191-23-002114.txt : 20230105 0001209191-23-002114.hdr.sgml : 20230105 20230105191057 ACCESSION NUMBER: 0001209191-23-002114 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230103 FILED AS OF DATE: 20230105 DATE AS OF CHANGE: 20230105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Brien Patrick CENTRAL INDEX KEY: 0001627183 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 23513069 MAIL ADDRESS: STREET 1: 225 S. LAKE AVENUE SUITE 1050 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 2023-01-03 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001627183 O'Brien Patrick 177 E. COLORADO BLVD SUITE 700 PASADENA CA 91105 0 1 0 0 COO and General Counsel Common Stock 2023-01-03 4 S 0 2653 37.53 D 378222 D Common Stock 2023-01-03 4 S 0 5527 38.54 D 372695 D Common Stock 2023-01-03 4 S 0 500 39.74 D 372195 D Common Stock 2023-01-03 4 S 0 70 40.80 D 372125 D Common Stock 2023-01-03 4 S 0 2894 37.58 D 369231 D Common Stock 2023-01-03 4 S 0 5286 38.58 D 363945 D Common Stock 2023-01-03 4 S 0 300 39.55 D 363645 D Common Stock 2023-01-03 4 S 0 270 40.53 D 363375 D Common Stock 2023-01-04 4 A 0 65000 0.00 A 428375 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 $37.03 to $38.02, 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. The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.03 to $38.89, 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 $39.47 to $40.28, 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 $37.06 to $38.05, 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 $38.10 to $39.00, 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 $39.30 to $39.72, 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 $40.42 to $40.80, 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 shares underlying a restricted stock unit, which shares will vest in four equal annual installments, with a commencement date of 1/4/23. Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions. /s/Patrick O'Brien 2023-01-05