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