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ARROWHEAD PHARMACEUTICALS, INC. — Director's Dealing 2020
Aug 15, 2020
31071_dirs_2020-08-14_3ce01b50-fa7a-45b2-8c59-1175e81c8f7a.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: 2020-08-13
Reporting Person: Anzalone Christopher Richard (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-08-13 | Common Stock | M | 50000 | $9.90 | Acquired | 2655237 | Direct |
| 2020-08-13 | Common Stock | S | 50000 | $41.35 | Disposed | 2605237 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2020-08-13 | Stock Option (right to buy) | $9.90 | M | 50000 | Disposed | 2020-08-16 | Common Stock (50000) | 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. This option exercise was completed as the underlying option was due to expire in August 2020.
F2: 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.
F3: Represents first vesting date. Option vested over four years from date of grant.