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ARROWHEAD PHARMACEUTICALS, INC. — Director's Dealing 2020
Nov 12, 2020
31071_dirs_2020-11-12_727f388d-3af3-4d76-b4af-a82c4463ffb5.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ARROWHEAD PHARMACEUTICALS, INC. (ARWR)
CIK: 0000879407
Period of Report: 2020-11-09
Reporting Person: Myszkowski Kenneth Allen (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-11-09 | Common Stock | M | 43505 | $14.54 | Acquired | 471173 | Direct |
| 2020-11-09 | Common Stock | S | 25840 | $69.04 | Disposed | 445333 | Direct |
| 2020-11-09 | Common Stock | S | 17665 | $69.86 | Disposed | 427668 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-11-09 | Stock Option (right to buy) | $14.54 | M | 43505 | Disposed | 2024-02-06 | Common Stock (43505) | 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 $68.51 to
$69.51, 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: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.51 to
$70.06, 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.
F4: Represents the first vesting date. Option vested over four years from date of grant.