SEC Form 4/A · accession 0001209191-16-138836
ARROWHEAD PHARMACEUTICALS, INC. · ARWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kenneth Allen Myszkowski
Officer — Chief Financial Officer
Period of report
Aug 22, 2016
Accepted (ET)
Aug 26, 2016 · 5:52 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 | Aug 22, 2016 | M | 13,100 | $2.01 | A | 128,789 | D | |
| Common Stock | Aug 22, 2016 | S | 13,100 | $8.00 | D | 115,689 | D | |
| Common Stock | Aug 23, 2016 | M | 6,900 | $2.01 | A | 122,589 | D | |
| Common StockF2 | Aug 23, 2016 | S | 6,900 | $8.00 | D | 115,689 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F3 | $2.01 | Aug 22, 2016 | M | 13,100 | D | Jun 1, 2013 | May 6, 2023 | Common Stock | 13,100 | 348,900 | D |
| Stock Option (right to buy)F3 | $2.01 | Aug 23, 2016 | M | 6,900 | D | Jun 1, 2013 | May 6, 2023 | Common Stock | 6,900 | 342,000 | D |
Explanation of responses
- F1Open 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.
- F2Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions.
- F3Represents first vesting date. Option vests over four years from date of grant.
Remarks
This form 4/A is filed to add footnote 1 to clarify that the sales were made pursuant to a 10b5-1 trading plan.