ARWR

SEC source: 0001209191-21-043137 · doc4.xml · nonDerivative · entry 1

Hassard James · CIK 0001799357 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,750

F1 · balance_after: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions.

SEC source: 0001209191-21-043051 · doc4.xml · nonDerivative · entry 1

GIVEN DOUGLAS B · CIK 0001156207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,868

F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.90 to $89.38, 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.

F2 · balance_after: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions.

SEC source: 0001209191-21-013974 · doc4.xml · nonDerivative · entry 1

GIVEN DOUGLAS B · CIK 0001156207 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 13,875

F1 · ownership.nature: 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.

SEC source: 0001209191-21-009368 · doc4.xml · derivative · entry 6

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 90,000 shares

Expires 2024-12-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: Represents the first vesting date. Option vested over four years from date of grant.

SEC source: 0001209191-21-009368 · doc4.xml · nonDerivative · entry 5

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,375

F4 · price: 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.

SEC source: 0001209191-21-009368 · doc4.xml · nonDerivative · entry 4

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,811

F3 · price: 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.

SEC source: 0001209191-21-009368 · doc4.xml · nonDerivative · entry 3

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,159

F2 · price: 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.

SEC source: 0001209191-21-009368 · doc4.xml · nonDerivative · entry 2

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,414

F1 · price: 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.

SEC source: 0001209191-21-009368 · doc4.xml · nonDerivative · entry 1

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,375

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-21-004076 · doc4.xml · nonDerivative · entry 1

GIVEN DOUGLAS B · CIK 0001156207 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 12,500

F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.98 to $83.40, 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.

F2 · ownership.nature: 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.

SEC source: 0001209191-21-003871 · doc4.xml · nonDerivative · entry 2

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,250

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.44 to $82.00, 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.

SEC source: 0001209191-21-003871 · doc4.xml · nonDerivative · entry 1

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,064

F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.40 to $81.29, 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.

SEC source: 0001209191-21-003295 · doc4.xml · nonDerivative · entry 2

Myszkowski Kenneth Allen · CIK 0001486672 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,005

SEC source: 0001209191-21-003295 · doc4.xml · nonDerivative · entry 1

Myszkowski Kenneth Allen · CIK 0001486672 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 445,446

F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.00 to $81.08, 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.

SEC source: 0001209191-21-002801 · doc4.xml · nonDerivative · entry 1

Hassard James · CIK 0001799357 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,375

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.00 to $75.06, 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.

SEC source: 0001209191-21-002583 · doc4.xml · nonDerivative · entry 3

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,375

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F4 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.63 to $72.79, 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.

SEC source: 0001209191-21-002583 · doc4.xml · nonDerivative · entry 2

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,618

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.62 to $72.62, 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.

SEC source: 0001209191-21-002583 · doc4.xml · nonDerivative · entry 1

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,233

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.78 to $71.42, 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.

SEC source: 0001209191-21-002577 · doc4.xml · nonDerivative · entry 3

Myszkowski Kenneth Allen · CIK 0001486672 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 457,043

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F4 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.20 to $72.87, 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.

SEC source: 0001209191-21-002577 · doc4.xml · nonDerivative · entry 2

Myszkowski Kenneth Allen · CIK 0001486672 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 482,209

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.19 to $72.17, 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.

SEC source: 0001209191-21-002577 · doc4.xml · nonDerivative · entry 1

Myszkowski Kenneth Allen · CIK 0001486672 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 486,568

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.11 to $71.11, 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.

SEC source: 0001209191-21-002571 · doc4.xml · nonDerivative · entry 7

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,250

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F8 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.43 to $72.89, 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.

SEC source: 0001209191-21-002571 · doc4.xml · nonDerivative · entry 6

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,958

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F7 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.42 to $72.42, 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.

SEC source: 0001209191-21-002571 · doc4.xml · nonDerivative · entry 5

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,925

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F6 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.26 to $71.25, 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.

SEC source: 0001209191-21-002571 · doc4.xml · nonDerivative · entry 4

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,625

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F5 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.62 to $74.57, 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.

SEC source: 0001209191-21-002571 · doc4.xml · nonDerivative · entry 3

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,550

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F4 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.60 to $73.58, 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.

SEC source: 0001209191-21-002571 · doc4.xml · nonDerivative · entry 2

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,900

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.57 to $72.57, 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.

SEC source: 0001209191-21-002571 · doc4.xml · nonDerivative · entry 1

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,200

F1 · kind: Open market sale 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 sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.52 to $71.50, 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.

SEC source: 0001209191-21-001538 · doc4.xml · nonDerivative · entry 2

PERRY MICHAEL S · CIK 0001250379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.06 to $76.33, 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.

SEC source: 0001209191-21-001527 · doc4.xml · nonDerivative · entry 2

GIVEN DOUGLAS B · CIK 0001156207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,368

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.86 to $76.26, 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.

SEC source: 0001209191-21-001481 · doc4.xml · nonDerivative · entry 2

Waddill William D. · CIK 0001553338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,250

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.86 to $76.32, 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.

SEC source: 0001209191-21-000485 · doc4.xml · nonDerivative · entry 2

Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,344,022

F1 · shares: Represents the maximum number of shares underlying a restricted stock unit that may be earned based on the achievement of eight predetermined performance goals related to the advancement of the Company's clinical and preclinical programs and business development that must be achieved within four years. If the performance goals are not met within the required time periods, the award will be forfeited in part or in whole.

F2 · balance_after: Includes a total of 1,700,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance goals. If the performance goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-21-001573 · doc4.xml · nonDerivative · entry 1

O'Brien Patrick · CIK 0001627183 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,375

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in four equal annual installments.

SEC source: 0001209191-21-001558 · doc4.xml · nonDerivative · entry 1

De Backer Marianne · CIK 0001797819 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,500

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in one installment on the first anniversary of the grant date.

SEC source: 0001209191-21-001562 · doc4.xml · nonDerivative · entry 1

Ferrari Mauro · CIK 0001506045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,971

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in one installment on the first anniversary of the grant date.

SEC source: 0001209191-21-001555 · doc4.xml · nonDerivative · entry 1

Myszkowski Kenneth Allen · CIK 0001486672 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 487,668

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in four equal annual installments.

SEC source: 0001209191-21-001548 · doc4.xml · nonDerivative · entry 1

OLUKOTUN ADEOYE Y · CIK 0001242615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in one installment on the first anniversary of the grant date.

SEC source: 0001209191-21-001538 · doc4.xml · nonDerivative · entry 1

PERRY MICHAEL S · CIK 0001250379 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,000

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in one installment on the first anniversary of the grant date.

SEC source: 0001209191-21-001527 · doc4.xml · nonDerivative · entry 1

GIVEN DOUGLAS B · CIK 0001156207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,368

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in one installment on the first anniversary of the grant date.

SEC source: 0001209191-21-001510 · doc4.xml · nonDerivative · entry 1

Hamilton James C · CIK 0001830755 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in four equal annual installments.

SEC source: 0001209191-21-001481 · doc4.xml · nonDerivative · entry 1

Waddill William D. · CIK 0001553338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in one installment on the first anniversary of the grant date.

SEC source: 0001209191-21-000485 · doc4.xml · nonDerivative · entry 1

Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,544,022

SEC source: 0001209191-20-065556 · doc4.xml · nonDerivative · entry 1

Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,544,621

F1 · balance_after: Includes a total of 900,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance goals. If the performance goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-20-065396 · doc4.xml · nonDerivative · entry 9

GIVEN DOUGLAS B · CIK 0001156207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,868

F1 · balance_after: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person which are subject to certain vesting conditions.

SEC source: 0001209191-20-065396 · doc4.xml · nonDerivative · entry 8

GIVEN DOUGLAS B · CIK 0001156207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,903

SEC source: 0001209191-20-065396 · doc4.xml · nonDerivative · entry 7

GIVEN DOUGLAS B · CIK 0001156207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,938

SEC source: 0001209191-20-064897 · doc4.xml · derivative · entry 4

Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,033

Underlying: Common Stock · 28,274 shares

Expires 2026-01-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant.

SEC source: 0001209191-20-064897 · doc4.xml · derivative · entry 3

Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 828,307

Underlying: Common Stock · 12,236 shares

Expires 2023-09-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant.

SEC source: 0001209191-20-064897 · doc4.xml · nonDerivative · entry 2

Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,545,747

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Includes a total of 900,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance goals. If the performance goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-20-064897 · doc4.xml · nonDerivative · entry 1

Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,517,473

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.