Company: ARWR
Filing Date: 2025-02-10
Form Type: 10-Q
Source: 0001628280-25-004634
Chunk: 3

Company: ARROWHEAD PHARMACEUTICALS, INC.
Filing Date: 2025-02-10
Form: 10-Q
Item: Part II, Item 2
Chunk 3
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ITEM 2.    UNREGISTERED SALES OF EQUITY SECURITIES AND USE OF PROCEEDS

None.

ITEM 3.    DEFAULTS UPON SENIOR SECURITIES

None. 

ITEM 4.    MINE SAFETY DISCLOSURES

Not Applicable. 

ITEM 5.    OTHER INFORMATION

(c) Trading Plans

During the quarter ended December 31, 2024, no director or officer (as defined in Exchange Act Rule 16a-1(f)) adopted or terminated trading plans intended to satisfy Rule 10b5-1(c), except as set forth in the following table:NameTitleAdoption or Termination DatePlan Start DatePlan End DateSharesVesting andSubject toSell-To-Cover (1)OtherSharesBeing Sold(Subject toCertainConditions)James HamiltonChief of Discovery and Translational MedicineTerminated on 10/18/2412/4/202411/28/2025n/a30,000

(1) This column indicates the total number of shares vesting in connection with equity awards, not the number of shares to be sold. The actual number of shares to be sold will be a smaller number based on whatever is required to satisfy payment of applicable withholding taxes under sell-to-cover arrangements. 

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ITEM 6.    EXHIBITS

ExhibitNumberDocument Description3.1Amended and Restated Certificate of Incorporation (incorporated by reference from Exhibit 3.3 of the Company’s Form 8-K filed on April 6, 2016)3.2Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Arrowhead Pharmaceuticals, Inc. (incorporated by reference from Exhibit 3.2 of the Company’s Form 10-Q filed on May 2, 2023)3.3*Second Amended and Restated Bylaws of Arrowhead Pharmaceuticals, Inc., as amended January 24, 2023(incorporated by reference from Exhibit 3.3 of the Company’s Form 10-Q filed on May 2, 2023)10.1Stock Purchase Agreement by and between Company and Sarepta Therapeutics Investments, Inc., dated November 25, 2024 (incorporated by reference from Exhibit 10.48 of the Company's Form 10-K filed on November 26, 2024)10.2Securities Purchase Agreement by and between Company and Av