AI assistant
ARROWHEAD PHARMACEUTICALS, INC. — Director's Dealing 2022
Sep 29, 2022
31071_dirs_2022-09-29_e2bf23fe-0392-417b-a9f4-cda278d3adb1.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ARROWHEAD PHARMACEUTICALS, INC. (ARWR)
CIK: 0000879407
Period of Report: 2022-09-27
Reporting Person: Anzalone Christopher Richard (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-09-27 | Common Stock | M | 39082 | $30.77 | Disposed | 3469856 | Direct |
| 2022-09-27 | Common Stock | M | 1542 | $31.21 | Disposed | 3468314 | Direct |
Footnotes
F1: The exercise of non-qualified stock options and sale was made as the stock options were approaching their expiration date. The 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.21 to $31.20, 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.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.21 to $31.25, 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.
F4: Includes a total of 1,649,282 shares underlying restricted stock units that may be earned based on the achievement of certain performance and/or market-based goals. If the goals are not met within the required time periods, the awards will be forfeited in part or in whole.