SEC Form 4 · accession 0001209191-18-034785
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
May 30, 2018
Accepted (ET)
Jun 1, 2018 · 5:34 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 | May 30, 2018 | M | 1,400 | $2.01 | A | 312,215 | D | |
| Common StockF2 | May 30, 2018 | S | 1,400 | $11.00 | D | 310,815 | D | |
| Common Stock | May 31, 2018 | M | 12,600 | $2.01 | A | 323,415 | D | |
| Common StockF2 | May 31, 2018 | S | 12,600 | $11.00 | D | 310,815 | 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 | May 30, 2018 | M | 1,400 | D | Jun 1, 2013 | May 6, 2023 | Common Stock | 1,400 | 320,600 | D |
| Stock Option (right to buy)F3 | $2.01 | May 31, 2018 | M | 12,600 | D | Jun 1, 2013 | May 6, 2023 | Common Stock | 12,600 | 308,000 | 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.