Form 4 for ARWR ARROWHEAD PHARMACEUTICALS, INC.
Accepted 2022-02-14 00:00:00 ET · period of report 2022-02-11 · accession 0001209191-22-009052 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-02-14 | 2022-02-11 | ARWR | Anzalone Christopher Richard | CEO, Dir | S - Sale+OE | $51.91 | -146.4K | 4.16M | -3% | -$7.60M |
| D | 2022-02-14 | 2022-02-11 | ARWR | Anzalone Christopher Richard | CEO, Dir | M - OptEx | $5.19 | +146.4K | 4.20M | +4% | +$759.8K |
| D | 2022-02-14 | 2022-02-11 | ARWR | Anzalone Christopher Richard | CEO, Dir | M - OptEx | $0.00 | -146.4K | 615.0K | -19% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-02-11 | S | D | 1,900 | $50.51 | 4,057,634 | D | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.49 to $50.57, 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. (F6) Includes a total of 2,300,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole. |
| 2 | Common | Common Stock | 2022-02-11 | S | D | 61,482 | $50.90 | 4,059,534 | D | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.58 to $51.58, 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. |
| 3 | Common | Common Stock | 2022-02-11 | S | D | 42,153 | $52.28 | 4,121,016 | D | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.60 to $51.61, 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. |
| 4 | Common | Common Stock | 2022-02-11 | S | D | 40,853 | $53.11 | 4,163,169 | D | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.63 to $53.61, 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. |
| 5 | Common | Common Stock | 2022-02-11 | M | A | 146,388 | $5.19 | 4,204,022 | D | — | — | |
| 6 | Derivative | Stock Option (right to buy Common Stock) | 2022-02-11 | M | D | 146,388 | $0.00 | 615,033 | D | $5.19 · 2012-03-01 to 2022-02-16 | 146,388 Common Stock | (F8) Represents total stock options beneficially owned at various strike prices. (F7) Represents first vesting date. Option vested over four years from date of grant. |