0001209191-18-055999.txt : 20181023 0001209191-18-055999.hdr.sgml : 20181023 20181023195955 ACCESSION NUMBER: 0001209191-18-055999 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181019 FILED AS OF DATE: 20181023 DATE AS OF CHANGE: 20181023 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Leone Peter Brian CENTRAL INDEX KEY: 0001635893 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 181135119 MAIL ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 1050 CITY: PASADENA STATE: CA ZIP: 91030 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARROWHEAD PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0000879407 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 460408024 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 1050 CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 626-304-3400 MAIL ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 1050 CITY: PASADENA STATE: CA ZIP: 91101 FORMER COMPANY: FORMER CONFORMED NAME: ARROWHEAD RESEARCH CORP DATE OF NAME CHANGE: 20040112 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE GROUP INC DATE OF NAME CHANGE: 20020509 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE INC DATE OF NAME CHANGE: 19940224 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-10-19 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001635893 Leone Peter Brian 225 S. LAKE AVENUE SUITE 1050 PASADENA CA 91101 0 1 0 0 VP, Strategic Bus. Initiatives Common Stock 2018-10-19 4 M 0 30000 2.79 A 160000 D Common Stock 2018-10-19 4 M 0 34375 6.15 A 194375 D Common Stock 2018-10-19 4 M 0 66762 7.75 A 261137 D Common Stock 2018-10-19 4 S 0 131137 13.49 D 130000 D Stock Options 2.79 2018-10-19 4 M 0 30000 0.00 D 2013-07-20 2023-07-20 Common Stock 30000 190000 D Stock Options 6.15 2018-10-19 4 M 0 34375 0.00 D 2016-01-01 2026-01-01 Common Stock 34375 155625 D Stock Options 7.75 2018-10-19 4 M 0 66762 0.00 D 2015-03-06 2025-03-06 Common Stock 66762 88863 D The price reported on Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $13.10 to $13.56, 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. Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions. Represents first vesting date. Option vests over four years from date of grant. /s/ Peter Leone 2018-10-23