SEC Form 4 · accession 0001209191-17-026974
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
Apr 12, 2017
Accepted (ET)
Apr 14, 2017 · 4:07 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 StockF1,F2 | Apr 12, 2017 | A | 978,000 | $0.00 | A | 1,794,789 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the maximum number of shares underlying a restricted stock unit that may be earned based on the achievement of six predetermined performance goals related to the advancement of the Company's preclinical programs and business development that must be achieved within two years. If the performance goals are not met within the required time periods, the award will be forfeited in part or in whole.
- F2Includes a total of 1,338,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance goals. If the performance goals are not met within the required time periods, the awards will be forfeited in part or in whole.