SEC Form 4 · accession 0001209191-16-131273
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
Jun 30, 2016
Accepted (ET)
Jul 5, 2016 · 6:11 pm EDT
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 | Jun 30, 2016 | M | 15,772 | $5.09 | A | 1,117,233 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrant | $5.09 | Jun 30, 2016 | X | 15,772 | D | Jun 12, 2010 | Jun 30, 2016 | Common Stock | 15,772 | 0 | D |
Explanation of responses
- F1This transaction represents an exercise of warrants exempted pursuant to Rule 16b-3.