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 |
|---|---|---|---|---|---|---|
| February 12, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 42,500 | $17.06 | $725,050.00 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · nonDerivative · entry 7 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 670,856 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. F4 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.03 to $17.21, 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 / conversionCommon Stock | 42,500 | $2.01 | $85,425.00 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · nonDerivative · entry 6 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 713,356 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 11, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 11,667 | $0.00 Strike: $2.62 | $0.00 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · derivative · entry 9 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 520,000 Underlying: Common Stock · 11,667 shares Expires 2022-09-28 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 |
| February 11, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 57,000 | $16.48 | $939,360.00 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · nonDerivative · entry 5 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 670,856 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 |
| February 11, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 97,167 | $15.66 | $1,521,635.22 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · nonDerivative · entry 4 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 727,856 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 $15.23 to $16.23, 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 11, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 11,667 | $2.62 | $30,567.54 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · nonDerivative · entry 3 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 825,023 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 08, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 11,667 | $0.00 Strike: $2.62 | $0.00 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · derivative · entry 8 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 531,667 Underlying: Common Stock · 11,667 shares Expires 2022-09-28 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 |
| February 08, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 46,167 | $15.34 | $708,201.78 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 813,356 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 $14.48 to $15.48, 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 08, 2019 Filed Feb 13, 2019 01:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 11,667 | $2.62 | $30,567.54 |
DisclosureSEC source: 0001209191-19-009534 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 859,523 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 05, 2019 Filed Feb 8, 2019 01:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 22,500 | $14.48 | $325,800.00 |
DisclosureSEC source: 0001209191-19-008329 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 847,856 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 |
| February 01, 2019 Filed Feb 2, 2019 00:51 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 28,500 | $13.85 | $394,725.00 |
DisclosureSEC source: 0001209191-19-006623 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 870,356 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 $13.62 to $14.14, 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 23, 2019 Filed Jan 25, 2019 01:53 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 17,500 | $13.15 | $230,125.00 |
DisclosureSEC source: 0001209191-19-005261 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 898,856 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 $13.01 to $13.28, 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 22, 2019 Filed Jan 25, 2019 01:53 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 152,000 | $13.59 | $2,065,680.00 |
DisclosureSEC source: 0001209191-19-005261 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 916,356 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 $13.30 to $14.30, 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 14, 2019 Filed Jan 17, 2019 01:18 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 1,000 | $0.00 Strike: $6.20 | $0.00 |
DisclosureSEC source: 0001209191-19-004003 · doc4.xml · derivative · entry 5 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 543,334 Underlying: Common Stock · 1,000 shares Expires 2019-09-28 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 14, 2019 Filed Jan 17, 2019 01:18 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 11,666 | $0.00 Strike: $2.62 | $0.00 |
DisclosureSEC source: 0001209191-19-004003 · doc4.xml · derivative · entry 4 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 544,334 Underlying: Common Stock · 11,666 shares Expires 2022-09-28 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 |
| January 14, 2019 Filed Jan 17, 2019 01:18 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 42,666 | $14.40 | $614,390.40 |
DisclosureSEC source: 0001209191-19-004003 · doc4.xml · nonDerivative · entry 3 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,068,356 F1 · kind: These shares were sold pursuant to a 10b5-1 plan adopted by the reporting person. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.03 to $14.57, 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. Read SEC document |
| January 14, 2019 Filed Jan 17, 2019 01:18 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 1,000 | $6.20 | $6,200.00 |
DisclosureSEC source: 0001209191-19-004003 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,111,022 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 14, 2019 Filed Jan 17, 2019 01:18 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 11,666 | $2.62 | $30,564.92 |
DisclosureSEC source: 0001209191-19-004003 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,110,022 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 02, 2019 Filed Jan 4, 2019 00:53 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 20,000 | $11.98 | $239,600.00 |
DisclosureSEC source: 0001209191-19-001472 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,098,356 F2 · 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 $11.69 to $12.16, 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, 2019 Filed Jan 4, 2019 00:53 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | GrantCommon Stock | 210,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-001472 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,118,356 F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in four equal annual installments. Read SEC document |
| March 05, 2018 Filed Mar 6, 2018 01:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 20,000 | $6.73 | $134,600.00 |
DisclosureSEC source: 0001209191-18-016994 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 908,356 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 on 03/05/2018. F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.65 to $6.77, 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, 2018 Filed Jan 4, 2018 00:25 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 20,000 | $3.69 | $73,800.00 |
DisclosureSEC source: 0001209191-18-001466 · doc4.xml · nonDerivative · entry 2 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 928,356 F2 · 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 on 01/01/2018. Read SEC document |
| January 01, 2018 Filed Jan 4, 2018 00:25 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | GrantCommon Stock | 175,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-001466 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 948,356 F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in four equal annual installments. Read SEC document |
| January 01, 2017 Filed Jan 5, 2017 01:27 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | GrantCommon Stock | 380,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-001605 · doc4.xml · nonDerivative · entry 1 GIVEN BRUCE D · CIK 0001219384 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 773,356 F1 · shares: Represents shares underlying a restricted stock unit, which shares will vest in one installment in January 2019. 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.