SEC Form 4 · accession 0001209191-19-013821
ARROWHEAD PHARMACEUTICALS, INC. · ARWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas B Given
Director
Period of report
Feb 22, 2019
Accepted (ET)
Feb 26, 2019 · 7:32 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 | Feb 22, 2019 | S | 3,000 | $18.05 | D | 175,130 | D | |
| Common Stock | Feb 26, 2019 | M | 30,000 | $5.19 | A | 205,130 | D | |
| Common Stock | Feb 26, 2019 | M | 18,000 | $2.19 | A | 223,130 | D | |
| Common Stock | Feb 26, 2019 | M | 10,000 | $2.62 | A | 233,130 | D | |
| Common Stock | Feb 26, 2019 | M | 7,000 | $4.75 | A | 240,130 | D | |
| Common StockF3 | Feb 26, 2019 | S | 65,000 | $19.25 | D | 175,130 | 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 | $5.19 | Feb 26, 2019 | M | 30,000 | D | Feb 16, 2013 | Feb 16, 2022 | Common Stock | 30,000 | 35,000 | D |
| Stock Option (right to buy)F4 | $2.19 | Feb 26, 2019 | M | 18,000 | D | Mar 21, 2014 | Mar 21, 2023 | Common Stock | 18,000 | 17,000 | D |
| Stock Option (right to buy)F4 | $2.62 | Feb 26, 2019 | M | 10,000 | D | Sep 28, 2013 | Sep 28, 2022 | Common Stock | 10,000 | 7,000 | D |
| Stock Option (right to buy)F4 | $4.75 | Feb 26, 2019 | M | 7,000 | D | Sep 21, 2014 | Sep 21, 2023 | Common Stock | 7,000 | 0 | 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 $17.92 to $18.18, 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 $19.25 to $19.30, 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.
- F4Options fully vested on the 1 year anniversary of the grant date.