0001628280-23-016223.txt : 20230505 0001628280-23-016223.hdr.sgml : 20230505 20230505190435 ACCESSION NUMBER: 0001628280-23-016223 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230503 FILED AS OF DATE: 20230505 DATE AS OF CHANGE: 20230505 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: 23895478 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 wf-form4_168332785863869.xml FORM 4 X0407 4 2023-05-03 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 0 Common Stock 2023-05-03 4 M 0 54928 2.01 A 3816266 D Common Stock 2023-05-03 4 S 0 54928 39.14 D 3761338 D Common Stock 2023-05-04 4 M 0 50000 2.01 A 3811338 D Common Stock 2023-05-04 4 S 0 24008 38.97 D 3787330 D Common Stock 2023-05-04 4 S 0 25992 40.02 D 3761338 D Stock Option (right to buy) 2.01 2023-05-03 4 M 0 54928 0 D 2013-06-01 2023-05-06 Common Stock 54928.0 516980 D Stock Option (right to buy) 2.01 2023-05-04 4 M 0 50000 0 D 2013-06-01 2023-05-06 Common Stock 50000.0 466980 D Acquired through exercise of options expiring 5/6/23. See Table II. The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.84 to $39.56, 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. The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.47 to $39.47, 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 $39.48 to $40.46, 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 first vesting date. Option vested over four years from date of grant. Represents total stock options beneficially owned at various strike prices. /s/Christopher Anzalone 2023-05-05