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ARROWHEAD PHARMACEUTICALS, INC. — Director's Dealing 2023
Sep 21, 2023
31071_dirs_2023-09-20_bc03b2e1-a32e-4eae-adee-3e56ccff7046.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: 2023-09-18
Reporting Person: Anzalone Christopher Richard (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2023-09-18 | Common Stock | M | 57755 | $4.75 | Acquired | 3819093 | Direct |
| 2023-09-18 | Common Stock | S | 31523 | $28 | Disposed | 3787570 | Direct |
| 2023-09-18 | Common Stock | S | 26232 | $28.27 | Disposed | 3761338 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2023-09-18 | Stock Option (right to buy) | $4.75 | M | 57555 | Acquired | 2023-09-21 | Common Stock (57555.0) | 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 $27.54 to $28.13, 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 $28.14 to $28.94, 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 the first vesting date.
F5: Represents total stock options beneficially owned at various strike prices