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