0001628280-24-000748.txt : 20240105 0001628280-24-000748.hdr.sgml : 20240105 20240105200255 ACCESSION NUMBER: 0001628280-24-000748 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240103 FILED AS OF DATE: 20240105 DATE AS OF CHANGE: 20240105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hamilton James C CENTRAL INDEX KEY: 0001830755 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 24518024 MAIL ADDRESS: STREET 1: 177 EAST COLORADO BLVD STREET 2: SUITE 700 CITY: PASADENA STATE: CA ZIP: 91105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARROWHEAD PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0000879407 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 wk-form4_1704502965.xml FORM 4 X0508 4 2024-01-03 0 0000879407 ARROWHEAD PHARMACEUTICALS, INC. ARWR 0001830755 Hamilton James C 177 EAST COLORADO BLVD SUITE 700 PASADENA CA 91105 0 0 0 1 Chief Discovery/Trans Medicine 1 Common Stock 2024-01-03 4 S 0 3500 31.81 D 178734 D Common Stock 2024-01-03 4 S 0 2300 32.52 D 176434 D Common Stock 2024-01-03 4 S 0 500 33.30 D 175934 D Common Stock 2024-01-04 4 A 0 75000 0 A 250934 D Common Stock 2024-01-05 4 S 0 1800 34 D 249134 D Common Stock 2024-01-05 4 S 0 8000 34.94 D 241134 D Common Stock 2024-01-05 4 S 0 12343 35.65 D 228791 D Common Stock 2024-01-05 4 S 0 10000 35 D 218791 D Shares were sold 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. Partial disposition of RSUs to satisfy tax withholding obligations. The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $31.22 to $32.19, 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. The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $32.21 to $32.93, 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 the weighted average price. These shares were sold in multiple transactions at prices ranging from $33.00 to $33.69, 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 shares underlying restricted stock units with a grant date 01/04/24, which will vest in four equal annual installments. The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $33.46 to $34.43, 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 the weighted average price. These shares were sold in multiple transactions at prices ranging from $34.46 to $35.44, 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 the weighted average price. These shares were sold in multiple transactions at prices ranging from $35.46 to $35.97, 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 the weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.06 , 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. /s/James Hamilton 2024-01-05