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