Form 4 for ARWR ARROWHEAD PHARMACEUTICALS, INC.
Accepted 2023-05-05 00:00:00 ET · period of report 2023-05-03 · accession 0001628280-23-016223 · 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 | 2023-05-05 | 2023-05-03+ | ARWR | Anzalone Christopher Richard | CEO, Dir | S - Sale+OE | $39.32 | -104.9K | 3.76M | -3% | -$4.13M |
| DM | 2023-05-05 | 2023-05-03+ | ARWR | Anzalone Christopher Richard | CEO, Dir | M - OptEx | $2.01 | +104.9K | 3.81M | +3% | +$210.9K |
| DM | 2023-05-05 | 2023-05-03+ | ARWR | Anzalone Christopher Richard | CEO, Dir | M - OptEx | $0.00 | -104.9K | 517.0K | -17% | $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 | 2023-05-03 | S | D | 54,928 | $39.14 | 3,761,338 | D | — | — | (F2) The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.84 to $39.56, 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. |
| 2 | Common | Common Stock | 2023-05-04 | S | D | 24,008 | $38.97 | 3,787,330 | D | — | — | (F3) The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.47 to $39.47, 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 | 2023-05-04 | S | D | 25,992 | $40.02 | 3,761,338 | D | — | — | (F4) The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.48 to $40.46, 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 | 2023-05-03 | M | A | 54,928 | $2.01 | 3,816,266 | D | — | — | (F1) Acquired through exercise of options expiring 5/6/23. See Table II. |
| 5 | Common | Common Stock | 2023-05-04 | M | A | 50,000 | $2.01 | 3,811,338 | D | — | — | (F1) Acquired through exercise of options expiring 5/6/23. See Table II. |
| 6 | Derivative | Stock Option (right to buy) | 2023-05-04 | M | D | 50,000 | $0.00 | 466,980 | D | $2.01 · 2013-06-01 to 2023-05-06 | 50,000 Common Stock | (F6) Represents total stock options beneficially owned at various strike prices. (F5) Represents first vesting date. Option vested over four years from date of grant. |
| 7 | Derivative | Stock Option (right to buy) | 2023-05-03 | M | D | 54,928 | $0.00 | 516,980 | D | $2.01 · 2013-06-01 to 2023-05-06 | 54,928 Common Stock | (F6) Represents total stock options beneficially owned at various strike prices. (F5) Represents first vesting date. Option vested over four years from date of grant. |