SEC Form 4 · accession 0001209191-16-088041
ARROWHEAD PHARMACEUTICALS, INC. · ARWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Allen Myszkowski
Officer — Chief Financial Officer
Period of report
Dec 30, 2015
Accepted (ET)
Jan 4, 2016 · 7:19 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 | 13,153 | $6.13 | D | 108,347 | D | |
| Common Stock | Dec 30, 2015 | S | 23,347 | $6.13 | D | 85,000 | D | |
| Common StockF1 | Jan 1, 2016 | A | 50,000 | $0.00 | A | 135,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF2 | $6.15 | Jan 1, 2016 | A | 40,000 | A | — | Jan 1, 2026 | Common Stock | 40,000 | 362,000 | 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.