SEC Form 4 · accession 0001209191-16-088039
ARROWHEAD PHARMACEUTICALS, INC. · ARWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Richard Anzalone
Officer — Chief Executive Officer · Director
Period of report
Dec 30, 2015
Accepted (ET)
Jan 4, 2016 · 7:15 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 Stock | Dec 30, 2015 | F | 58,712 | $6.13 | D | 561,461 | D | |
| Common StockF1 | Jan 1, 2016 | A | 540,000 | $0.00 | A | 1,101,461 | 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 | $6.15 | Jan 1, 2016 | A | 80,000 | A | — | Jan 1, 2026 | Common Stock | 80,000 | 1,166,466 | D |
Explanation of responses
- F1Represents the maximum number of shares underlying a restricted stock unit that may be earned based on the achievement of certain predetermined performance goals related to the advancement of the Company's clinical programs and business development over three years. If the performance goals are not met within the required time periods, the award will be forfeited in part or in whole.
- F2Option vests and becomes exercisable over a four year period from date of grant.