Anzalone Christopher Richard

SEC source: 0001628280-24-003097 · wk-form4_1706912729.xml · derivative · entry 4

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 351,726

Underlying: Common Stock · 57,499 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: All options were fully vested and exercisable as of February 6, 2015.

SEC source: 0001628280-24-003097 · wk-form4_1706912729.xml · nonDerivative · entry 3

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,715,048

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $32.47 to $33.33, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4.

SEC source: 0001628280-24-003097 · wk-form4_1706912729.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,734,778

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $31.85 to $32.46, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4.

SEC source: 0001628280-24-003097 · wk-form4_1706912729.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,772,547

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 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001628280-24-000478 · wk-form4_1704407090.xml · nonDerivative · entry 2

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,715,048

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $31.01 to $32.00, 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.

F2 · acquired: Partial disposition of RSUs to satisfy tax withholding obligations.

F4 · 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: 0001628280-24-000478 · wk-form4_1704407090.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,720,366

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.11 to $30.99, 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 · acquired: Partial disposition of RSUs to satisfy tax withholding obligations.

F4 · 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: 0001628280-23-042646 · wk-form4_1703282656.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,725,000

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $28.17 to $28.78, 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 · acquired: Partial disposition of RSUs to satisfy tax withholding obligations.

F4 · 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: 0001628280-23-035430 · wk-form4_1698445412.xml · nonDerivative · entry 1

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

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,737,000

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $23.97 to $24.74, 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 · acquired: Partial disposition of performance RSUs to satisfy tax withholding obligations. The performance RSUs were subject to a performance condition, which the Compensation Committee of the Company certified as achieved on October 22nd, 2023.

F4 · balance_after: 1,765,359 shares are subject to certain performance conditions that must be satisfied in order to vest.

SEC source: 0001628280-23-032707 · wf-form4_169524780099268.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 409,225

Underlying: Common Stock · 57,555 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 the first vesting date.

F5 · balance_after: Represents total stock options beneficially owned at various strike prices

SEC source: 0001628280-23-032707 · wf-form4_169524780099268.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,761,338

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.14 to $28.94, 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: 0001628280-23-032707 · wf-form4_169524780099268.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,787,570

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.54 to $28.13, 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: 0001628280-23-032707 · wf-form4_169524780099268.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,819,093

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 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001628280-23-016223 · wf-form4_168332785863869.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 466,980

Underlying: Common Stock · 50,000 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.

F6 · balance_after: Represents total stock options beneficially owned at various strike prices.

SEC source: 0001628280-23-016223 · wf-form4_168332785863869.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,761,338

F4 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.48 to $40.46, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4.

SEC source: 0001628280-23-016223 · wf-form4_168332785863869.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,787,330

F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.47 to $39.47, 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: 0001628280-23-016223 · wf-form4_168332785863869.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,811,338

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 · acquired: Acquired through exercise of options expiring 5/6/23. See Table II.

SEC source: 0001628280-23-016223 · wf-form4_168332785863869.xml · derivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 516,980

Underlying: Common Stock · 54,928 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.

F6 · balance_after: Represents total stock options beneficially owned at various strike prices.

SEC source: 0001628280-23-016223 · wf-form4_168332785863869.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,761,338

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.84 to $39.56, 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: 0001628280-23-016223 · wf-form4_168332785863869.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,816,266

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 · acquired: Acquired through exercise of options expiring 5/6/23. See Table II.

SEC source: 0001209191-22-062241 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,720,714

F2 · shares: Includes 93,610 shares underlying restricted stock units, which will vest in four equal installments, with a commencement date of 12/20/22. Includes 140,415 underlying restricted stock units, that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part of in whole.

F3 · balance_after: Includes a total of 1,789,697 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-22-062241 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,486,689

F1 · shares: Represents shares of stock which vested on the date of issuance.

SEC source: 0001209191-22-051551 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,468,314

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 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.21 to $31.25, 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.

F4 · balance_after: Includes a total of 1,649,282 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-22-051551 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,469,856

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 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.21 to $31.20, 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: 0001209191-22-041979 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,508,938

F1 · shares: Modification of previously granted award from 800,000 to 248,803.

F2 · balance_after: Includes a total of 1,649,282 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-22-041850 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 612,532

Underlying: Common Stock · 2,501 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.

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

F3 · balance_after: Represents total stock options beneficially owned at various strike prices.

SEC source: 0001209191-22-041850 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,060,135

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 2,300,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-22-009052 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 615,033

Underlying: Common Stock · 146,388 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.

F7 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant.

F8 · balance_after: Represents total stock options beneficially owned at various strike prices.

SEC source: 0001209191-22-009052 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,057,634

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.49 to $50.57, 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.

F6 · balance_after: Includes a total of 2,300,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-22-009052 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,059,534

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.58 to $51.58, 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: 0001209191-22-009052 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,121,016

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.60 to $51.61, 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: 0001209191-22-009052 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,163,169

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.63 to $53.61, 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: 0001209191-22-009052 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,204,022

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.

F1 · kind: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001209191-22-002617 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 761,421

Underlying: Common Stock · 11,806 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.

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

F3 · balance_after: Represents total stock options beneficially owned at various strike prices.

SEC source: 0001209191-22-002617 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,057,634

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 2,300,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-22-001284 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,045,828

F1 · shares: Represents the maximum number of shares underlying a restricted stock unit that may be earned based on the achievement of three predetermined goals related to the advancement of the Company's market capitalization that must be achieved within four years. If the 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 2,300,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole.

SEC source: 0001209191-21-071196 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 773,227

Underlying: Common Stock · 11,806 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.

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

SEC source: 0001209191-21-071196 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,245,828

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 1,400,000 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: 0001209191-21-070467 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,219,022

F1 · shares: The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. Of the total 60,000 shares sold, 50,000 of the shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.96 to $70.32, 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: 0001209191-21-070467 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,226,011

F1 · shares: The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. Of the total 60,000 shares sold, 50,000 of the shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.94 to $69.94, 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: 0001209191-21-070467 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,235,234

F1 · shares: The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. Of the total 60,000 shares sold, 50,000 of the shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.82 to $68.80, 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: 0001209191-21-070467 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,238,308

F1 · shares: The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. Of the total 60,000 shares sold, 50,000 of the shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.76 to $67.75, 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: 0001209191-21-070467 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,253,165

F1 · shares: The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. Of the total 60,000 shares sold, 50,000 of the shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.75 to $66.74, 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: 0001209191-21-061426 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,279,022

F2 · shares: 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 $65.97 to $66.91, 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.

F5 · balance_after: Includes a total of 1,600,000 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: 0001209191-21-061426 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,284,852

F2 · shares: 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 $64.97 to $65.96, 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: 0001209191-21-061426 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,329,022

F1 · shares: 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. This option exercise was completed as the underlying option was due to expire in October 2021.

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: 0001209191-21-000485 · 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: 0001209191-20-064897 · 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.