Company: ARWR
Filing Date: 2025-02-10
Form Type: 10-Q
Source: 0001628280-25-004634
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Company: ARROWHEAD PHARMACEUTICALS, INC.
Filing Date: 2025-02-10
Form: 10-Q
Item: Part II, Item 1A
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ITEM 1A.    RISK FACTORS

The Company’s business, results of operations and financial conditions are subject to various risks. These risks are described elsewhere in this Quarterly Report on Form 10-Q and in the Company’s other filings with the SEC, including the Company’s Annual Report on Form 10-K for the year ended September 30, 2024. There have been no material changes from the risk factors identified in the Company’s Annual Report on Form 10-K for the year ended September 30, 2024.

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