0001628280-24-003097.txt : 20240202 0001628280-24-003097.hdr.sgml : 20240202 20240202172550 ACCESSION NUMBER: 0001628280-24-003097 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240131 FILED AS OF DATE: 20240202 DATE AS OF CHANGE: 20240202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anzalone Christopher Richard CENTRAL INDEX KEY: 0001423029 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38042 FILM NUMBER: 24592897 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] 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_1706912729.xml FORM 4 X0508 4 2024-01-31 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 1 Common Stock 2024-01-31 4 M 0 57499 14.54 A 3772547 D Common Stock 2024-01-31 4 S 0 37769 32.16 D 3734778 D Common Stock 2024-01-31 4 S 0 19730 32.71 D 3715048 D Stock Option (right to buy) 14.54 2024-01-31 4 M 0 57499 0 D 2015-02-06 2024-02-06 Common Stock 57499 351726 D The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The 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. The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $31.85 to $32.46, 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. The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $32.47 to $33.33, 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. All options were fully vested and exercisable as of February 6, 2015. /s/Christopher Anzalone 2024-02-02