SEC Form 4 · accession 0001209191-18-001466
ARROWHEAD PHARMACEUTICALS, INC. · ARWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce D Given
Officer — Chief Operating Officer
Period of report
Jan 1, 2018
Accepted (ET)
Jan 3, 2018 · 7:25 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 StockF1 | Jan 1, 2018 | A | 175,000 | $0.00 | A | 948,356 | D | |
| Common Stock | Jan 1, 2018 | S | 20,000 | $3.69 | D | 928,356 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares underlying a restricted stock unit, which shares will vest in four equal annual installments.
- F2Open 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. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units on 01/01/2018.