ARROWHEAD PHARMACEUTICALS, INC. — Director's Dealing 2019

Dec 5, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ARROWHEAD PHARMACEUTICALS, INC. (ARWR)
CIK: 0000879407
Period of Report: 2019-12-02

Reporting Person: Anzalone Christopher Richard (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-12-02	Common Stock	S	5743	$66.58	Disposed	2116160	Direct
2019-12-02	Common Stock	S	7193	$67.63	Disposed	2108967	Direct
2019-12-02	Common Stock	S	8510	$68.50	Disposed	2100457	Direct
2019-12-02	Common Stock	S	6617	$69.50	Disposed	2093840	Direct
2019-12-02	Common Stock	S	2448	$70.72	Disposed	2091392	Direct
2019-12-02	Common Stock	S	3800	$72.13	Disposed	2087592	Direct
2019-12-02	Common Stock	S	3656	$72.95	Disposed	2083936	Direct
2019-12-03	Common Stock	S	4011	$60.73	Disposed	2079925	Direct
2019-12-03	Common Stock	S	8022	$62.00	Disposed	2071903	Direct

Footnotes

F1: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

F3: 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.

F4: 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.

F5: 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.

F6: 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.

F7: 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.

F8: 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.

F9: 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.

F10: 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.