SEC Form 4 · accession 0001209191-18-050356
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
Sep 6, 2018
Accepted (ET)
Sep 10, 2018 · 6:32 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 | Sep 6, 2018 | M | 25,000 | $2.62 | A | 335,815 | D | |
| Common Stock | Sep 6, 2018 | M | 20,000 | $4.75 | A | 355,815 | D | |
| Common Stock | Sep 6, 2018 | S | 25,000 | $18.00 | D | 330,815 | D | |
| Common StockF2,F3 | Sep 6, 2018 | S | 20,000 | $21.01 | 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)F4 | $2.62 | Sep 6, 2018 | M | 25,000 | D | Sep 28, 2012 | Sep 28, 2022 | Common Stock | 25,000 | 263,000 | D |
| Stock Option (right to buy)F4 | $4.75 | Sep 6, 2018 | M | 20,000 | D | Sep 21, 2013 | Sep 21, 2023 | Common Stock | 20,000 | 243,000 | 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.
- F2The price reported on Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $21.00 to $21.06, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4.
- F3Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions.
- F4Represents first vesting date. Option vests over four years from date of grant.