0001209191-20-046846.txt : 20200814 0001209191-20-046846.hdr.sgml : 20200814 20200814180819 ACCESSION NUMBER: 0001209191-20-046846 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200813 FILED AS OF DATE: 20200814 DATE AS OF CHANGE: 20200814 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anzalone Christopher Richard CENTRAL INDEX KEY: 0001423029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 201107079 MAIL ADDRESS: STREET 1: ARROWHEAD RESEARCH CORPORATION STREET 2: 201 SOUTH LAKE AVENUE, SUITE 703 CITY: PASADENA STATE: CA ZIP: 91101 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: 177 E COLORADO BLVD STREET 2: SUITE 700 CITY: PASADENA STATE: CA ZIP: 91105 BUSINESS PHONE: 626-696-4702 MAIL ADDRESS: STREET 1: 177 E COLORADO BLVD STREET 2: SUITE 700 CITY: PASADENA STATE: CA ZIP: 91105 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 2020-08-13 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001423029 Anzalone Christopher Richard 177 E. COLORADO BLVD SUITE 700 PASADENA CA 91105 1 1 0 0 Chief Executive Officer Common Stock 2020-08-13 4 M 0 50000 9.90 A 2655237 D Common Stock 2020-08-13 4 S 0 50000 41.35 D 2605237 D Stock Option (right to buy) 9.90 2020-08-13 4 M 0 50000 0.00 D 2010-09-01 2020-08-16 Common Stock 50000 895543 D Open 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. This option exercise was completed as the underlying option was due to expire in August 2020. Includes a total of 1,100,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance goals. If the performance goals are not met within the required time periods, the awards will be forfeited in part or in whole. Represents first vesting date. Option vested over four years from date of grant. /s/Christopher Anzalone 2020-08-14