SEC Form 4 · accession 0001181431-15-004308
ARROWHEAD PHARMACEUTICALS, INC. · ARWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce D Given
Officer — Chief Operating Officer
Period of report
Mar 4, 2015
Accepted (ET)
Mar 6, 2015 · 8:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000879407
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 4, 2015 | A | 150,000 | $0.00 | A | 275,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $7.75 | Mar 6, 2015 | A | 60,000 | A | — | Mar 6, 2025 | Common Stock | 60,000 | 496,000 | D |
Explanation of responses
- F1Represents shares underlying a restricted stock unit, which shares will vest in three equal annual installments on the anniversary date of the grant.
- F2Option vests and becomes exercisable over a four year period from date of grant.