SEC Form 4 · accession 0001209191-19-009534

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

Feb 8, 2019

Accepted (ET)

Feb 12, 2019 · 8:58 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
Common Stock	Feb 8, 2019	M	11,667	$2.62	A	859,523	D
Common Stock^F2	Feb 8, 2019	S	46,167	$15.34	D	813,356	D
Common Stock	Feb 11, 2019	M	11,667	$2.62	A	825,023	D
Common Stock^F3	Feb 11, 2019	S	97,167	$15.66	D	727,856	D
Common Stock	Feb 11, 2019	S	57,000	$16.48	D	670,856	D
Common Stock	Feb 12, 2019	M	42,500	$2.01	A	713,356	D
Common Stock^F4	Feb 12, 2019	S	42,500	$17.06	D	670,856	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)^F5	$2.62	Feb 8, 2019	M	11,667	D	Oct 1, 2012	Sep 28, 2022	Common Stock	11,667	531,667	D
Stock Option (right to buy)^F5	$2.62	Feb 11, 2019	M	11,667	D	Oct 1, 2012	Sep 28, 2022	Common Stock	11,667	520,000	D
Stock Option (right to buy)^F5	$2.01	Feb 12, 2019	M	42,500	D	Jun 1, 2013	May 6, 2023	Common Stock	42,500	477,500	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. These shares were sold in multiple transactions at prices ranging from $14.48 to $15.48, 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.
F3The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.23 to $16.23, 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.
F4The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.03 to $17.21, 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.
F5Represents first vesting date. Option vested over four years from date of grant.