0001209191-21-009368.txt : 20210210 0001209191-21-009368.hdr.sgml : 20210210 20210210175651 ACCESSION NUMBER: 0001209191-21-009368 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210208 FILED AS OF DATE: 20210210 DATE AS OF CHANGE: 20210210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Brien Patrick CENTRAL INDEX KEY: 0001627183 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 21615454 MAIL ADDRESS: STREET 1: 225 S. LAKE AVENUE SUITE 1050 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 2021-02-08 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001627183 O'Brien Patrick 177 E. COLORADO BLVD SUITE 700 PASADENA CA 91105 0 1 0 0 General Counsel Common Stock 2021-02-08 4 M 0 90000 5.22 A 383375 D Common Stock 2021-02-08 4 S 0 7961 86.72 D 375414 D Common Stock 2021-02-08 4 S 0 31255 88.08 D 344159 D Common Stock 2021-02-08 4 S 0 45348 88.88 D 298811 D Common Stock 2021-02-08 4 S 0 5436 89.66 D 293375 D Stock Option (right to buy) 5.22 2021-02-08 4 M 0 90000 0.00 D 2015-06-02 2024-12-02 Common Stock 90000 60000 D The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.26 to $87.11, 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. The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.43 to $88.42, 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. The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.44 to $89.41, 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. The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.45 to $89.85, 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. Represents the first vesting date. Option vested over four years from date of grant. /s/Patrick O'Brien 2021-02-10