SEC Form 4 · accession 0001209191-19-004005
ARROWHEAD PHARMACEUTICALS, INC. · ARWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zhen Li
Officer — Snr. VP, Chem and Non-Clin Dev
Period of report
Jan 14, 2019
Accepted (ET)
Jan 16, 2019 · 8:24 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 StockF2 | Jan 14, 2019 | S | 40,500 | $14.34 | D | 201,700 | D |
Table II — derivative securities
No Table II lines on this filing.
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. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.
- F2The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.02 to $14.56, 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.