SEC Form 4 · accession 0001209191-19-004003
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 14, 2019
Accepted (ET)
Jan 16, 2019 · 8:18 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 Stock | Jan 14, 2019 | M | 11,666 | $2.62 | A | 1,110,022 | D | |
| Common Stock | Jan 14, 2019 | M | 1,000 | $6.20 | A | 1,111,022 | D | |
| Common StockF2 | Jan 14, 2019 | S | 42,666 | $14.40 | D | 1,068,356 | 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 | $2.62 | Jan 14, 2019 | M | 11,666 | D | Oct 1, 2012 | Sep 28, 2022 | Common Stock | 11,666 | 544,334 | D |
| Stock Option (right to buy) | $6.20 | Jan 14, 2019 | M | 1,000 | D | Sep 28, 2009 | Sep 28, 2019 | Common Stock | 1,000 | 543,334 | D |
Explanation of responses
- F1These shares were sold pursuant to a 10b5-1 plan adopted by the reporting person.
- F2The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.03 to $14.57, 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.
- F3Represents first vesting date. Option vested over four years from date of grant.