person · Reporting owner
Anzalone Christopher Richard
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARROWHEAD PHARMACEUTICALS, INC.ARWR · Entity 3472 | Director · Chief Executive Officer | January 02, 2026 | January 06, 2026 |
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 January 02, 2026 · Filed January 06, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,792,739 |
Last balance in matching sequence
After 2026-01-02 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2026-01-02 · Sale · Disposed 7,416 · Balance 3,798,510 F1: 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: Partial disposition of shares to satisfy tax withholding obligations. F3: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $65.28 to $66.20, 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. F4: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person, a portion of which are still subject to certain vesting conditions. Row 2 · 2026-01-02 · Sale · Disposed 5,771 · Balance 3,792,739 F1: 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: Partial disposition of shares to satisfy tax withholding obligations. F5: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $66.21 to $66.58, 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. F4: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person, a portion of which are still subject to certain vesting conditions. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Partial disposition of shares to satisfy tax withholding obligations.
F3: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $65.28 to $66.20, 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.
F4: Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person, a portion of which are still subject to certain vesting conditions.
F5: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $66.21 to $66.58, 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.
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 |
|---|---|---|---|---|---|---|
| December 18, 2020 Filed Dec 22, 2020 22:55 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 28,274 | $6.15 | $173,885.10 |
DisclosureSEC source: 0001209191-20-064897 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,545,747 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes a total of 900,000 shares underlying restricted stock units that may be earned based on the achievement of certain performance goals. If the performance goals are not met within the required time periods, the awards will be forfeited in part or in whole. Read SEC document |
| December 18, 2020 Filed Dec 22, 2020 22:55 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 12,236 | $4.75 | $58,121.00 |
DisclosureSEC source: 0001209191-20-064897 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,517,473 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 09, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 38,676 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · derivative · entry 9 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 840,543 Underlying: Common Stock · 38,676 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. F7 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| December 09, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 4,003 | $71.61 | $286,654.83 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · nonDerivative · entry 7 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,505,237 F5 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.33 to $72.13, 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. F6 · 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. Read SEC document |
| December 09, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 5,880 | $70.87 | $416,715.60 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · nonDerivative · entry 6 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,509,240 F4 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.32 to $71.30, 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 |
| December 09, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 12,067 | $69.80 | $842,276.60 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · nonDerivative · entry 5 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,515,120 F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.27 to $70.25, 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. Read SEC document |
| December 09, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 16,726 | $67.27 | $1,125,158.02 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · nonDerivative · entry 4 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,527,187 F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.26 to $69.26, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4. Read SEC document |
| December 09, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 38,676 | $2.01 | $77,738.76 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · nonDerivative · entry 3 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,543,913 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 |
| December 08, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 16,324 | $0.00 Strike: $2.01 | $0.00 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · derivative · entry 8 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 879,219 Underlying: Common Stock · 16,324 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. F7 · derivative.exercise_date: Represents first vesting date. Option vested over four years from date of grant. Read SEC document |
| December 08, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 16,324 | $67.97 | $1,109,542.28 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,505,237 F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.50 to $68.29, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4. Read SEC document |
| December 08, 2020 Filed Dec 11, 2020 00:07 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 16,324 | $2.01 | $32,811.24 |
DisclosureSEC source: 0001209191-20-062797 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,521,561 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 |
| October 23, 2020 Filed Oct 23, 2020 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 12,272 | $58.57 | $718,771.04 |
DisclosureSEC source: 0001209191-20-055732 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,505,237 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 $58.52 to $58.60, 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 · 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. Read SEC document |
| October 23, 2020 Filed Oct 23, 2020 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 87,728 | $58.16 | $5,102,260.48 |
DisclosureSEC source: 0001209191-20-055732 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,517,509 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 $57.51 to $58.51, 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 · 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. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 22:08 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $9.90 | $0.00 |
DisclosureSEC source: 0001209191-20-046846 · doc4.xml · derivative · entry 3 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 895,543 Underlying: Common Stock · 50,000 shares Expires 2020-08-16 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 |
| August 13, 2020 Filed Aug 14, 2020 22:08 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 50,000 | $41.35 | $2,067,500.00 |
DisclosureSEC source: 0001209191-20-046846 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,605,237 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. This option exercise was completed as the underlying option was due to expire in August 2020. F2 · balance_after: Includes a total of 1,100,000 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. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 22:08 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 50,000 | $9.90 | $495,000.00 |
DisclosureSEC source: 0001209191-20-046846 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,655,237 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 |
| June 25, 2020 Filed Jun 26, 2020 22:02 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 23 | $39.55 | $909.65 |
DisclosureSEC source: 0001209191-20-039148 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,605,237 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. Read SEC document |
| June 25, 2020 Filed Jun 26, 2020 22:02 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 99,977 | $38.81 | $3,880,107.37 |
DisclosureSEC source: 0001209191-20-039148 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,605,260 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 $38.46 to $39.45, 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 23:01 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | GrantCommon Stock | 900,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001349 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,705,237 F1 · shares: Represents the maximum number of shares underlying a restricted stock unit that may be earned based on the achievement of nine predetermined performance goals related to the advancement of the Company's clinical and preclinical programs and business development that must be achieved within five 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 1,300,000 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. Read SEC document |
| December 24, 2019 Filed Dec 27, 2019 21:54 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 83,333 | $63.50 | $5,291,645.50 |
DisclosureSEC source: 0001209191-19-062035 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,805,237 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 $63.17 to $63.65, 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 · balance_after: Includes a total of 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. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 3,393 | $68.18 | $231,334.74 |
DisclosureSEC source: 0001209191-19-060507 · doc4.xml · nonDerivative · entry 8 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,888,570 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. F9 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.03 to $68.47, 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. F10 · balance_after: Includes a total of 566,667 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. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 25,412 | $67.30 | $1,710,227.60 |
DisclosureSEC source: 0001209191-19-060507 · doc4.xml · nonDerivative · entry 7 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,891,963 F1 · kind: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. F8 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.01 to $67.99, 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. Read SEC document |
| December 13, 2019 Filed Dec 13, 2019 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 45,577 | $66.47 | $3,029,503.19 |
DisclosureSEC source: 0001209191-19-060507 · doc4.xml · nonDerivative · entry 6 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,917,375 F1 · kind: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. F7 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.01 to $67.00, 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 |
| December 13, 2019 Filed Dec 13, 2019 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 8,951 | $65.85 | $589,423.35 |
DisclosureSEC source: 0001209191-19-060507 · doc4.xml · nonDerivative · entry 5 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,962,952 F1 · kind: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. F6 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.61 to $66.00, 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 |
| December 12, 2019 Filed Dec 13, 2019 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 8,379 | $69.41 | $581,586.39 |
DisclosureSEC source: 0001209191-19-060507 · doc4.xml · nonDerivative · entry 4 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,971,903 F1 · kind: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. F5 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.01 to $69.95, 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 |
| December 12, 2019 Filed Dec 13, 2019 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 10,343 | $68.51 | $708,598.93 |
DisclosureSEC source: 0001209191-19-060507 · doc4.xml · nonDerivative · entry 3 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,980,282 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 $68.02 to $69.00, 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 |
| December 12, 2019 Filed Dec 13, 2019 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 58,059 | $67.31 | $3,907,951.29 |
DisclosureSEC source: 0001209191-19-060507 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,990,625 F1 · kind: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.01 to $67.99, 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. Read SEC document |
| December 12, 2019 Filed Dec 13, 2019 23:35 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 23,219 | $66.82 | $1,551,493.58 |
DisclosureSEC source: 0001209191-19-060507 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,048,684 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 $66.00 to $67.00, 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 |
| December 03, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 8,022 | $62.00 | $497,364.00 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 9 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,071,903 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. F10 · balance_after: Includes a total of 933,333 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. Read SEC document |
| December 03, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 4,011 | $60.73 | $243,588.03 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 8 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,079,925 F1 · kind: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F9 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $60.60 to $60.85, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 3,656 | $72.95 | $266,705.20 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 7 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,083,936 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. F8 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.53 to $73.40, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 3,800 | $72.13 | $274,094.00 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 6 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,087,592 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. F7 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.52 to $72.51, 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 |
| December 02, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 2,448 | $70.72 | $173,122.56 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 5 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,091,392 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. F6 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.46 to $71.44, 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 |
| December 02, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 6,617 | $69.50 | $459,881.50 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 4 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,093,840 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. F5 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.12 to $69.93, 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 |
| December 02, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 8,510 | $68.50 | $582,935.00 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 3 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,100,457 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 $68.08 to $69.08, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 7,193 | $67.63 | $486,462.59 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,108,967 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 $67.05 to $68.04, 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 |
| December 02, 2019 Filed Dec 4, 2019 23:48 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 5,743 | $66.58 | $382,368.94 |
DisclosureSEC source: 0001209191-19-059171 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,116,160 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 $66.00 to $67.00, 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 |
| October 10, 2019 Filed Oct 11, 2019 23:31 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 56,325 | $0.00 Strike: $5.20 | $0.00 |
DisclosureSEC source: 0001209191-19-053064 · doc4.xml · derivative · entry 3 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 945,543 Underlying: Common Stock · 56,325 shares Expires 2020-03-04 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 two years from date of grant. Read SEC document |
| October 10, 2019 Filed Oct 11, 2019 23:31 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 56,325 | $31.83 | $1,792,824.75 |
DisclosureSEC source: 0001209191-19-053064 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,121,903 F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.50 to $32.06, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote of this Form 4. F2 · balance_after: Includes a total of 933,333 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. Read SEC document |
| October 10, 2019 Filed Oct 11, 2019 23:31 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 56,325 | $5.20 | $292,890.00 |
DisclosureSEC source: 0001209191-19-053064 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,178,228 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 |
| September 25, 2019 Filed Sep 28, 2019 01:16 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 20,000 | $28.25 | $565,000.00 |
DisclosureSEC source: 0001209191-19-051054 · doc4.xml · nonDerivative · entry 1 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,121,903 F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.25 to $28.28, 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. F2 · balance_after: Includes a total of 933,333 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. Read SEC document |
| September 24, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 66,645 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · derivative · entry 10 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,001,868 Underlying: Common Stock · 66,645 shares Expires 2019-10-08 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. F6 · derivative.exercise_date: Represents first vesting date. Option vested over two years from date of grant. Read SEC document |
| September 24, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 12,673 | $29.04 | $368,023.92 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · nonDerivative · entry 7 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,141,903 F4 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.10, 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 933,333 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. Read SEC document |
| September 24, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 53,972 | $28.00 | $1,511,216.00 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · nonDerivative · entry 6 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,154,576 F3 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $28.03, 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 |
| September 24, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 66,645 | $5.10 | $339,889.50 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · nonDerivative · entry 5 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,208,548 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: This option exercise was completed as the underlying option was due to expire in October 2019. Read SEC document |
| September 23, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 41,755 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · derivative · entry 9 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,068,513 Underlying: Common Stock · 41,755 shares Expires 2019-10-08 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. F6 · derivative.exercise_date: Represents first vesting date. Option vested over two years from date of grant. Read SEC document |
| September 23, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 41,755 | $29.04 | $1,212,565.20 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · nonDerivative · entry 4 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,141,903 F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.10, 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 |
| September 23, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionCommon Stock | 41,755 | $5.10 | $212,950.50 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · nonDerivative · entry 3 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,183,658 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: This option exercise was completed as the underlying option was due to expire in October 2019. Read SEC document |
| September 20, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | Exercise / conversionStock Option (right to buy) · Derivative | 4,250 | $0.00 Strike: $5.10 | $0.00 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · derivative · entry 8 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,110,268 Underlying: Common Stock · 4,250 shares Expires 2019-10-08 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. F6 · derivative.exercise_date: Represents first vesting date. Option vested over two years from date of grant. Read SEC document |
| September 20, 2019 Filed Sep 25, 2019 01:12 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 4,250 | $29.00 | $123,250.00 |
DisclosureSEC source: 0001209191-19-050606 · doc4.xml · nonDerivative · entry 2 Anzalone Christopher Richard · CIK 0001423029 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,141,903 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.