0001209191-21-055474.txt : 20210910 0001209191-21-055474.hdr.sgml : 20210910 20210910165336 ACCESSION NUMBER: 0001209191-21-055474 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210909 FILED AS OF DATE: 20210910 DATE AS OF CHANGE: 20210910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GIVEN DOUGLAS B CENTRAL INDEX KEY: 0001156207 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 211247596 MAIL ADDRESS: STREET 1: C/O NEORX CORP STREET 2: 410 WEST HARRISON ST CITY: SEATTLE STATE: WA ZIP: 98119 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 2021-09-09 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001156207 GIVEN DOUGLAS B 177 E. COLORADO BLVD SUITE 700 PASADENA CA 91105 1 0 0 0 Common Stock 2021-09-09 4 S 0 5000 65.24 D 109868 D Common Stock 13875 I By Trust Common Stock 12500 I By Trust The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.20 to $65.33, 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 securities owned directly by Anne Given Trust ("AG Trust"). Mr. Given, as co-trustee of AG Trust, may be deemed to beneficially own the securities owned directly by AG Trust. Represents securities owned directly by Katherine Given Ligtenberg Trust ("KGL Trust"). Mr. Given, as co-trustee of KGL Trust, may be deemed to beneficially own the securities owned directly by KGL Trust. /s/Douglass Given 2021-09-10