ARROWHEAD PHARMACEUTICALS, INC. — Director's Dealing 2020

Apr 23, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ARROWHEAD PHARMACEUTICALS, INC. (ARWR)
CIK: 0000879407
Period of Report: 2020-04-20

Reporting Person: GIVEN BRUCE D (Chief Operating Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-04-20	Common Stock	M	3800	$4.75	Acquired	862793	Direct
2020-04-20	Common Stock	M	3700	$5.19	Acquired	866493	Direct
2020-04-20	Common Stock	M	3456	$5.20	Acquired	869949	Direct
2020-04-20	Common Stock	M	5300	$14.54	Acquired	875249	Direct
2020-04-20	Common Stock	S	3800	$40.00	Disposed	871449	Direct
2020-04-20	Common Stock	S	3700	$40.00	Disposed	867749	Direct
2020-04-20	Common Stock	S	3456	$40.00	Disposed	864293	Direct
2020-04-20	Common Stock	S	5300	$40.00	Disposed	858993	Direct
2020-04-20	Common Stock	S	3454	$40.00	Disposed	855539	Direct
2020-04-20	Common Stock	S	3805	$40.00	Disposed	851734	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-04-20	Stock Option (right to buy)	$4.75	M	3800	Disposed	2023-09-21	Common Stock (3800)	Direct
2020-04-20	Stock Option (right to buy)	$5.19	M	3700	Disposed	2022-02-16	Common Stock (3700)	Direct
2020-04-20	Stock Option (right to buy)	$5.20	M	3456	Disposed	2021-10-26	Common Stock (3456)	Direct
2020-04-20	Stock Option (right to buy)	$14.54	M	5300	Disposed	2024-02-06	Common Stock (5300)	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 $40.00 to $40.01, 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 $40.00 to $40.02, 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 first vesting date. Option vested over four years from date of grant.