Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARROWHEAD PHARMACEUTICALS, INC.ARWR · Entity 3472 | Chief Operating Officer | April 27, 2020 | April 29, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ARROWHEAD PHARMACEUTICALS, INC.
Report date April 27, 2020 · Filed April 29, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 850,730 |
Ending reported balance
After 2020-04-28 transaction · row 15
15 source rows · reconciled sequenceRow 1 · 2020-04-27 · Exercise / conversion · Acquired 200 · Balance 851,934 Row 2 · 2020-04-27 · Sale · Disposed 200 · Balance 851,734 F1: 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. Row 3 · 2020-04-27 · Sale · Disposed 100 · Balance 851,634 F1: 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. Row 4 · 2020-04-28 · Exercise / conversion · Acquired 500 · Balance 852,134 Row 5 · 2020-04-28 · Exercise / conversion · Acquired 1,454 · Balance 853,588 Row 6 · 2020-04-28 · Exercise / conversion · Acquired 1,200 · Balance 854,788 Row 7 · 2020-04-28 · Exercise / conversion · Acquired 830 · Balance 855,618 Row 8 · 2020-04-28 · Exercise / conversion · Acquired 213 · Balance 855,831 Row 9 · 2020-04-28 · Sale · Disposed 500 · Balance 855,331 F1: 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. Row 10 · 2020-04-28 · Sale · Disposed 1,454 · Balance 853,877 F1: 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. F2: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Row 11 · 2020-04-28 · Sale · Disposed 1,200 · Balance 852,677 F1: 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. Row 12 · 2020-04-28 · Sale · Disposed 830 · Balance 851,847 F1: 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. F2: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Row 13 · 2020-04-28 · Sale · Disposed 213 · Balance 851,634 F1: 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. Row 14 · 2020-04-28 · Sale · Disposed 204 · Balance 851,430 F1: 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. Row 15 · 2020-04-28 · Sale · Disposed 700 · Balance 850,730 F1: 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. F2: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.19 · Expires 2020-02-16 | Direct | 333,544 |
Reported balance
After 2020-04-27 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2020-04-27 · Exercise / conversion · Disposed 200 · Balance 333,544 F3: Represents first vesting date. Option vested over four years from date of grant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.75 · Expires 2025-03-06 | Direct | 333,044 |
Reported balance
After 2020-04-28 transaction · row 17
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 17 · 2020-04-28 · Exercise / conversion · Disposed 500 · Balance 333,044 F3: Represents first vesting date. Option vested over four years from date of grant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.54 · Expires 2024-02-06 | Direct | 331,590 |
Reported balance
After 2020-04-28 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2020-04-28 · Exercise / conversion · Disposed 1,454 · Balance 331,590 F3: Represents first vesting date. Option vested over four years from date of grant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.75 · Expires 2023-09-21 | Direct | 330,390 |
Reported balance
After 2020-04-28 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2020-04-28 · Exercise / conversion · Disposed 1,200 · Balance 330,390 F3: Represents first vesting date. Option vested over four years from date of grant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.19 · Expires 2022-02-16 | Direct | 329,560 |
Reported balance
After 2020-04-28 transaction · row 20
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 20 · 2020-04-28 · Exercise / conversion · Disposed 830 · Balance 329,560 F3: Represents first vesting date. Option vested over four years from date of grant. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.20 · Expires 2021-10-26 | Direct | 329,347 |
Reported balance
After 2020-04-28 transaction · row 21
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 21 · 2020-04-28 · Exercise / conversion · Disposed 213 · Balance 329,347 F3: Represents first vesting date. Option vested over four years from date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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.
F3: Represents first vesting date. Option vested over four years from date of grant.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 213 | $0.00 Strike: $5.20 | $0.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · derivative · entry 21 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,347 Underlying: Common Stock · 213 shares Expires 2021-10-26 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. F3 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 830 | $0.00 Strike: $5.19 | $0.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · derivative · entry 20 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,560 Underlying: Common Stock · 830 shares Expires 2022-02-16 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. F3 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 1,200 | $0.00 Strike: $4.75 | $0.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · derivative · entry 19 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,390 Underlying: Common Stock · 1,200 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. F3 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 1,454 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · derivative · entry 18 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 331,590 Underlying: Common Stock · 1,454 shares Expires 2024-02-06 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. F3 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 500 | $0.00 Strike: $7.75 | $0.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · derivative · entry 17 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,044 Underlying: Common Stock · 500 shares Expires 2025-03-06 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. F3 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 700 | $40.00 | $28,000.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 15 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 850,730 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 204 | $40.00 | $8,160.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 14 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,430 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 213 | $40.00 | $8,520.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 13 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,634 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 830 | $40.00 | $33,200.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 12 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,847 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 1,200 | $40.00 | $48,000.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 11 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 852,677 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 1,454 | $40.00 | $58,160.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 10 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 853,877 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 500 | $40.00 | $20,000.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 9 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 855,331 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 213 | $5.20 | $1,107.60 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 8 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 855,831 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 830 | $5.19 | $4,307.70 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 7 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 855,618 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 1,200 | $4.75 | $5,700.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 6 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 854,788 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 1,454 | $14.54 | $21,141.16 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 5 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 853,588 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. Read SEC document |
| April 28, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 500 | $7.75 | $3,875.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 4 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 852,134 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. Read SEC document |
| April 27, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 200 | $0.00 Strike: $5.19 | $0.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · derivative · entry 16 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,544 Underlying: Common Stock · 200 shares Expires 2020-02-16 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. F3 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 27, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 100 | $40.00 | $4,000.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 3 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,634 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. Read SEC document |
| April 27, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 200 | $40.00 | $8,000.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,734 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. Read SEC document |
| April 27, 2020 Filed Apr 29, 2020 23:19 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 200 | $5.19 | $1,038.00 |
DisclosureSEC source: 0001209191-20-026230 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,934 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. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 5,300 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · derivative · entry 14 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,744 Underlying: Common Stock · 5,300 shares Expires 2024-02-06 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. F4 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 3,456 | $0.00 Strike: $5.20 | $0.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · derivative · entry 13 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 339,044 Underlying: Common Stock · 3,456 shares Expires 2021-10-26 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. F4 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 3,700 | $0.00 Strike: $5.19 | $0.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · derivative · entry 12 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 342,500 Underlying: Common Stock · 3,700 shares Expires 2022-02-16 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. F4 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 3,800 | $0.00 Strike: $4.75 | $0.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · derivative · entry 11 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 346,200 Underlying: Common Stock · 3,800 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. F4 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 3,805 | $40.00 | $152,200.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 10 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 851,734 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 3,454 | $40.00 | $138,160.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 9 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 855,539 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 5,300 | $40.00 | $212,000.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 8 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 858,993 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. F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.02, 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 Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 3,456 | $40.00 | $138,240.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 7 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 864,293 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 3,700 | $40.00 | $148,000.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 6 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 867,749 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. F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.02, 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 Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 3,800 | $40.00 | $152,000.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 5 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 871,449 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.01, 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. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 5,300 | $14.54 | $77,062.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 4 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 875,249 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. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 3,456 | $5.20 | $17,971.20 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 3 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 869,949 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. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 3,700 | $5.19 | $19,203.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 866,493 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. Read SEC document |
| April 20, 2020 Filed Apr 22, 2020 23:00 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 3,800 | $4.75 | $18,050.00 |
DisclosureSEC source: 0001209191-20-025382 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 862,793 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. Read SEC document |
| January 06, 2020 Filed Jan 8, 2020 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 1,300 | $60.99 | $79,287.00 |
DisclosureSEC source: 0001209191-20-002617 · doc4.xml · nonDerivative · entry 3 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 858,993 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 $60.92 to $61.04, 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. Read SEC document |
| January 06, 2020 Filed Jan 8, 2020 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 22,466 | $60.37 | $1,356,272.42 |
DisclosureSEC source: 0001209191-20-002617 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 860,293 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 $59.91 to $60.91, 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. Read SEC document |
| January 06, 2020 Filed Jan 8, 2020 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 11,847 | $59.57 | $705,725.79 |
DisclosureSEC source: 0001209191-20-002617 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 882,759 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 $58.90 to $59.90, 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. Read SEC document |
| January 01, 2020 Filed Jan 3, 2020 23:04 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | GrantCommon Stock | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001356 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 894,606 F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in four equal annual installments. Read SEC document |
| March 01, 2019 Filed Mar 2, 2019 01:42 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 42,500 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-19-015284 · doc4.xml · derivative · entry 3 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common Stock · 42,500 shares Expires 2023-05-06 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. F3 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| March 01, 2019 Filed Mar 2, 2019 01:42 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 42,500 | $19.99 | $849,575.00 |
DisclosureSEC source: 0001209191-19-015284 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,606 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.98 to $20.01, 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. Read SEC document |
| March 01, 2019 Filed Mar 2, 2019 01:42 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 42,500 | $2.01 | $85,425.00 |
DisclosureSEC source: 0001209191-19-015284 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 687,106 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. Read SEC document |
| February 25, 2019 Filed Feb 28, 2019 00:08 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 42,500 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-19-014235 · doc4.xml · derivative · entry 3 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,500 Underlying: Common Stock · 42,500 shares Expires 2023-05-06 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. F3 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| February 25, 2019 Filed Feb 28, 2019 00:08 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 42,500 | $18.98 | $806,650.00 |
DisclosureSEC source: 0001209191-19-014235 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,606 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.98 to $19.00, 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. Read SEC document |
| February 25, 2019 Filed Feb 28, 2019 00:08 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 42,500 | $2.01 | $85,425.00 |
DisclosureSEC source: 0001209191-19-014235 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 687,106 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. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 01:09 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 42,500 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-19-011829 · doc4.xml · derivative · entry 4 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 435,000 Underlying: Common Stock · 42,500 shares Expires 2023-05-06 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. F4 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 01:09 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 42,500 | $17.98 | $764,150.00 |
DisclosureSEC source: 0001209191-19-011829 · doc4.xml · nonDerivative · entry 3 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,606 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. F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.98 to $18.00, 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. Read SEC document |
| February 19, 2019 Filed Feb 21, 2019 01:09 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 42,500 | $2.01 | $85,425.00 |
DisclosureSEC source: 0001209191-19-011829 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 687,106 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. Read SEC document |
| February 15, 2019 Filed Feb 21, 2019 01:09 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 26,250 | $17.67 | $463,837.50 |
DisclosureSEC source: 0001209191-19-011829 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,606 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. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.61 to $17.79, 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. Read SEC document |
| February 12, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 42,500 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · derivative · entry 10 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,500 Underlying: Common Stock · 42,500 shares Expires 2023-05-06 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 first vesting date. Option vested over four years from date of grant. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.