ARWR / Arrowhead Pharmaceuticals, Inc. - Pengajuan SECLaporan Tahunan, Pernyataan Proksi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 September 2, 2025 Date of Report (Date of earliest event reported) Arrowhead Pharma

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 September 2, 2025 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

Arrowhead Pharmaceuticals and Novartis Enter into a Global License and Collaboration Agreement

EXHIBIT 99.1 PRESS RELEASE September. 2, 2025 Arrowhead Pharmaceuticals and Novartis Enter into a Global License and Collaboration Agreement –Upon closing, Arrowhead will receive an upfront payment of $200 million –Novartis will receive an exclusive worldwide license to ARO-SNCA, Arrowhead’s preclinical stage siRNA therapy for the treatment of synucleinopathies, such as Parkinson’s Disease, plus a

Arrowhead Pharmaceuticals Reports Fiscal 2025 Third Quarter Results Conference Call and Webcast Today, August 7, 2025 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE August 7, 2025 Arrowhead Pharmaceuticals Reports Fiscal 2025 Third Quarter Results Conference Call and Webcast Today, August 7, 2025 at 4:30 p.m. ET PASADENA, Calif., August 7, 2025 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal 2025 third quarter ended June 30, 2025. The Company is hosting a conference call today, Augus

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

to Lease Agreement by and between Arrowhead Madison, Inc. and University Research Park, dated

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 August 7, 2025 Date of Report (Date of earliest event reported) Arrowhead Pharmaceu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 August 7, 2025 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 May 12, 2025 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commis

between Company and Ken

r From the Desk of: Patrick O’Brien Chief Operating Officer and General Counsel May 9, 2025 Ken Myszkowski, CFO Arrowhead Pharmaceuticals, Inc.

Severance and Change of Control Agreement by and between Company and Patrick O'Brien, dated

SEVERANCE AND CHANGE OF CONTROL AGREEMENT This Severance and Change of Control Agreement (the “Agreement”), dated as of May 9, 2025 (the “Effective Date”), is made by and between Arrowhead Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Severance and Change of Control Agreement by and between Company and Daniel Apel, dated

SEVERANCE AND CHANGE OF CONTROL AGREEMENT This Severance and Change of Control Agreement (the “Agreement”), dated as of May 8, 2025 (the “Effective Date”), is made by and between Arrowhead Pharmaceuticals, Inc.

Arrowhead Pharmaceuticals Reports Fiscal 2025 Second Quarter Results Conference Call and Webcast Today, May 12, 2025 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE May 12, 2025 Arrowhead Pharmaceuticals Reports Fiscal 2025 Second Quarter Results Conference Call and Webcast Today, May 12, 2025 at 4:30 p.m. ET PASADENA, Calif., May 12, 2025 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal 2025 second quarter ended March 31, 2025. The Company is hosting a conference call today, May 12,

Severance and Change of Control Agreement by and between Company and James Hamilton, dated

SEVERANCE AND CHANGE OF CONTROL AGREEMENT This Severance and Change of Control Agreement (the “Agreement”), dated as of May 8, 2025 (the “Effective Date”), is made by and between Arrowhead Pharmaceuticals, Inc.

Severance and Change of Control Agreement by and between Company and Christopher Anzalone, dated

SEVERANCE AND CHANGE OF CONTROL AGREEMENT This Severance and Change of Control Agreement (the “Agreement”), dated as of May 9, 2025 (the “Effective Date”), is made by and between Arrowhead Pharmaceuticals, Inc.

Arrowhead Pharmaceuticals Appoints Daniel Apel as Chief Financial Officer

EXHIBIT 99.1 PRESS RELEASE Apr. 15, 2025 Arrowhead Pharmaceuticals Appoints Daniel Apel as Chief Financial Officer PASADENA, Calif., Apr. 15, 2025 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced that, effective May 13, 2025, Arrowhead’s Chief Financial Officer, Ken Myszkowski, will retire after 16 years of service to the company and will be succeeded by Daniel Apel, who has been a

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 April 11, 2025 Date of Report (Date of earliest event reported) Arrowhead Pharmaceu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 April 11, 2025 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 3/12/2025 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commissio

Calculation of Filing Fee Tables FORM 424(b)(7) (Form Type) Arrowhead Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities

Exhibit 107 Calculation of Filing Fee Tables FORM 424(b)(7) (Form Type) Arrowhead Pharmaceuticals, Inc.

11,926,301 Shares Common Stock

Table of Contents Filed Pursuant to Rule 424(b)(7) Registration Statement No. 333-268665 PROSPECTUS SUPPLEMENT (To Prospectus dated December 5, 2022) 11,926,301 Shares Common Stock Pursuant to this prospectus supplement, the selling stockholder identified herein (the “Selling Stockholder”) is offering on a resale basis an aggregate of 11,926,301 shares (the “Shares”) of common stock, par value $0.

Schedule A Executive Officers and Directors of Sarepta Therapeutics, Inc.

EX-99.A 5 ck0001669811-ex99a.htm EX-99.A Schedule A Executive Officers and Directors of Sarepta Therapeutics, Inc. Name Citizenship Position / Principal Occupation Principal Business Address Douglas S. Ingram United States President and Chief Executive Officer c/o Sarepta Therapeutics, Inc., 215 First Street, Suite 415, Cambridge, MA 02142 Ian M. Estepan United States Executive Vice President, Chi

INvestor RIGHTS AGREEMENT

EX-99.4 4 ck0001669811-ex994.htm EX-99.4 INvestor RIGHTS AGREEMENT This Investor Rights Agreement (this “Agreement”) is made and entered into as of February 7, 2025, by and between Arrowhead Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Sarepta Therapeutics Investments, Inc., a Delaware corporation (the “Purchaser”). NOW, THEREFORE, IN CONSIDERATION of the mutual covenants con

STOCK PURCHASE AGREEMENT

EX-99.3 3 ck0001669811-ex993.htm EX-99.3 Execution Version STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (this “Agreement”) is entered into as of November 25, 2024, by and among Arrowhead Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and Sarepta Therapeutics Investments, Inc., a Delaware corporation (“Purchaser” and, together with the Company, the “Parties”). RECITALS WHE

Joint Filing Agreement

Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13D referred to below) on behalf of each of them of a statement on Schedule 13D (including amendments thereto executed by each of them) with respect to the common stock, par value of $0.

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)

Exhibit 3.3 SECOND AMENDED AND RESTATED BYLAWS OF ARROWHEAD PHARMACEUTICALS, INC. ARTICLE I STOCKHOLDERS Section 1.1 Annual Meeting. (a) General. The annual meeting of stockholders shall be held at the hour, date and place, if any, within or without the State of Delaware which is fixed by the Board of Directors, which time, date and place may subsequently be changed at any time by vote of the Boar

by and between Company and Sixth Street Lending Partners

Execution Version 1 CERTAIN INFORMATION IN THIS DOCUMENT, MARKED BY [**], HAS BEEN EXCLUDED PURSUANT TO REGULATION S-K, ITEM 601(b)(10)(iv).

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 10, 2025 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

Arrowhead Pharmaceuticals Reports Fiscal 2025 First Quarter Results Conference Call and Webcast Today, February 10, 2025 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE Feb. 10, 2025 Arrowhead Pharmaceuticals Reports Fiscal 2025 First Quarter Results Conference Call and Webcast Today, February 10, 2025 at 4:30 p.m. ET PASADENA, Calif., Feb. 10, 2025 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal 2025 first quarter ended December 31, 2024. The Company is hosting a conference call today,

Exclusive License and Collaboration Agreement by and between the Company and Sarepta Therapeutics, Inc.

[***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 7, 2025 Arrowhead Pharma

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 7, 2025 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 7, 2025 Arrowhead Pharma

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 7, 2025 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Amen

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Amendment No. Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidenti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 __________________________________________________________________ FORM 10-K __________________________________________________________________ (Mark One) x ANNUAL REPORT UNDER SEC

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2024 o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confid

Calculation of Filing Fee Tables FORM 424(b)(7) (Form Type) Arrowhead Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities

Exhibit 107 Calculation of Filing Fee Tables FORM 424(b)(7) (Form Type) Arrowhead Pharmaceuticals, Inc.

917,441 Shares Common Stock

Table of Contents Filed Pursuant to Rule 424(b)(7) Registration Statement No. 333-268665 PROSPECTUS SUPPLEMENT (To Prospectus dated December 5, 2022) 917,441 Shares Common Stock Pursuant to this prospectus supplement, the selling stockholder identified herein (the “Selling Stockholder”) is offering on a resale basis an aggregate of 917,441 shares (the “Shares”) of common stock, par value $0.001 pe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 17, 2024 (December 11, 2

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 17, 2024 (December 11, 2024) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction

Stock Purchase Agreement by and between Company and Sarepta Therapeutics Investments, Inc., dated November 25, 2024

STOCK PURCHASE AGREEMENT THIS STOCK PURCHASE AGREEMENT (this “Agreement”) is entered into as of November 25, 2024, by and among Arrowhead Pharmaceuticals, Inc.

Securities Purchase Agreement by and between Company and Avoro Life Sciences Fund LLC, dated November 25, 2024

arrowhead-avoroxsecuriti SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”) is entered into as of November 25, 2024, by and among Arrowhead Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 November 26, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharma

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 November 26, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

Arrowhead Pharmaceuticals Reports 2024 Fiscal Year-End Results Conference Call and Webcast Today, November 26, 2024 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE November 26, 2024 Arrowhead Pharmaceuticals Reports 2024 Fiscal Year-End Results Conference Call and Webcast Today, November 26, 2024 at 4:30 p.m. ET PASADENA, Calif., November 26, 2024 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its 2024 fiscal year ended September 30, 2024. The Company is hosting a conference call today, Novem

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2024 o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Financing Agreement by and between Company and Sixth Street Lending Partners, dated August 7, 2024

Execution Version CERTAIN INFORMATION IN THIS DOCUMENT, MARKED BY [**], HAS BEEN EXCLUDED PURSUANT TO REGULATION S-K, ITEM 601(b)(10)(iv).

Form of Investor Rights Agreement by and between Company and Sarepta Therapeutics Investments, Inc. (included as Exhibit A in Exhibit 10.4

arrowhead-sareptaxinvest INVESTOR RIGHTS AGREEMENT This Investor Rights Agreement (this “Agreement”) is made and entered into as of [⚫], 2024, by and between Arrowhead Pharmaceuticals, Inc.

Form of Registration Rights Agreement by and between Company and Avoro Life Sciences Fund LLC (included as Exhibit B in Exhibit 10.49)

[Signature Page to Securities Purchase Agreement] REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of [], 2024, by and between Arrowhead Pharmaceuticals, Inc.

Form of Pre-Funded Warrant for Avoro Life Sciences Fund LLC

arrowhead-avoroxformofpr Form of Pre-Funded Warrant THE SECURITIES REPRESENTED HEREBY AND THE SECURITIES ISSUABLE UPON EXERCISE OF THESE SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933.

Arrowhead Pharmaceuticals, Inc. Insider Trading Policy

arwr-insidertradingpolic November 2024 Arrowhead Pharmaceuticals, Inc. Policy on Insider Trading (Revised – Updated November 2024) 1. Purpose This Insider Trading Policy provides the standards of Arrowhead Pharmaceuticals, Inc. and its affiliates (“Arrowhead”) on trading and causing the trading of Arrowhead securities, or securities of certain other publicly traded companies, while in possession o

ARWR / Arrowhead Pharmaceuticals, Inc. / Avoro Capital Advisors LLC - ARROWHEAD PHARMACEUTICALS, INC. Passive Investment

SC 13G 1 p24-3166sc13g.htm ARROWHEAD PHARMACEUTICALS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Arrowhead Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 04280A100 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of This

JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)

EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements.

ARWR / Arrowhead Pharmaceuticals, Inc. / STATE STREET CORP Passive Investment

SC 13G/A 1 ArrowheadPharmaInc.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ARROWHEAD PHARMACEUTICALS INC (Name of Issuer) COMMON STOCK (Title of Class of Securities) 04280A100 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the r

Arrowhead Pharmaceuticals Reports Fiscal 2024 Third Quarter Results –Conference Call and Webcast Today, August 8, 2024 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE August 8, 2024 Arrowhead Pharmaceuticals Reports Fiscal 2024 Third Quarter Results –Conference Call and Webcast Today, August 8, 2024 at 4:30 p.m. ET PASADENA, Calif., August 8, 2024 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal 2024 third quarter ended June 30, 2024. The Company is hosting a conference call today, Augu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 August 8, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 August 8, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

Arrowhead Pharmaceuticals Reports Fiscal 2024 Second Quarter Results –Conference Call and Webcast Today, May 9, 2024 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE May 9, 2024 Arrowhead Pharmaceuticals Reports Fiscal 2024 Second Quarter Results –Conference Call and Webcast Today, May 9, 2024 at 4:30 p.m. ET PASADENA, Calif., May 9, 2024 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal 2024 second quarter ended March 31, 2024. The Company is hosting a conference call today, May 9, 202

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Arrowhead Pharmaceuticals, Inc. Inducement Plan

1 ARROWHEAD PHARMACEUTICALS, INC. INDUCEMENT PLAN 1. DEFINED TERMS Exhibit A, which is incorporated by reference, defines the terms used in the Plan and sets forth certain operational rules related to those terms. 2. PURPOSE The Plan has been established to advance the interests of the Company by providing for the grant to Participants of Stock-based and other incentive Awards. Each Award granted

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 May 9, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commiss

ARWR / Arrowhead Pharmaceuticals, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv0036-arrowheadpharmaceutic.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 7)* Name of issuer: Arrowhead Pharmaceuticals Inc Title of Class of Securities: Common Stock CUSIP Number: 04280A100 Date of Event Which Requires Filing of this Statement: March 28, 2024 Check the appropriate box

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 March 14, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 March 14, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 21, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation)

Calculation of Filing Fee Table

Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 Arrowhead Pharmaceuticals, Inc.

Arrowhead Pharmaceuticals, Inc. Inducement Plan

1 ARROWHEAD PHARMACEUTICALS, INC. INDUCEMENT PLAN 1. DEFINED TERMS Exhibit A, which is incorporated by reference, defines the terms used in the Plan and sets forth certain operational rules related to those terms. 2. PURPOSE The Plan has been established to advance the interests of the Company by providing for the grant to Participants of Stock-based and other incentive Awards. Each Award granted

As filed with the Securities and Exchange Commission on February 28, 2024

As filed with the Securities and Exchange Commission on February 28, 2024 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 21, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

ARWR / Arrowhead Pharmaceuticals, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv0336-arrowheadpharmaceutic.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* Name of issuer: Arrowhead Pharmaceuticals Inc Title of Class of Securities: Common Stock CUSIP Number: 04280A100 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate

d between Arrowhead Pharmaceuticals, Inc. and GlaxoSmithKline Intellectual Property (

gsk-amendedandrestatedli EXHIBIT 10.1 EXECUTION VERSION CERTAIN INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION IS (I) NOT MATERIAL AND (II) TREATED AS PRIVATE OR CONFIDENTIAL BY THE COMPANY. 1 AMENDED AND RESTATED LICENSE AGREEMENT This Amended and Restated License Agreement (“Agreement”), made as of December 11, 2023 (the “Amended Effective Da

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 6, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmac

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 6, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

Arrowhead Pharmaceuticals Reports Fiscal 2024 First Quarter Results –Conference Call and Webcast Today, February 6, 2024 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE February 6, 2024 Arrowhead Pharmaceuticals Reports Fiscal 2024 First Quarter Results –Conference Call and Webcast Today, February 6, 2024 at 4:30 p.m. ET PASADENA, Calif., February 6, 2024 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal 2024 first quarter ended December 31, 2023. The company is hosting a conference call t

SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.__)

SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confid

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 January 16, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmac

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 January 16, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

15,790,000 Shares Common Stock

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No.

Underwriting Agreement, dated as of January 2, 2024, among Arrowhead Pharmaceuticals, Inc. and Jefferies LLC, BofA Securities, Inc. and Cowen and Company, LLC, as representatives of the underwriters named therein.

exhibit11-arrowheadxunde Exhibit 1.1 15,790,000 Shares Arrowhead Pharmaceuticals, Inc. UNDERWRITING AGREEMENT January 2, 2024 JEFFERIES LLC BOFA SECURITIES, INC. COWEN AND COMPANY, LLC As Representatives of the several Underwriters c/o Jefferies LLC 520 Madison Avenue New York, New York 10022 c/o BofA Securities, Inc. One Bryant Park New York, New York 10036 c/o Cowen and Company, LLC 599 Lexingto

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 January 2, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmace

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 January 2, 2024 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Com

Calculation of Filing Fee Tables FORM 424(b)(5) (Form Type) Arrowhead Pharmaceuticals, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculati

EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables FORM 424(b)(5) (Form Type) Arrowhead Pharmaceuticals, Inc.

& Jacobs LLP, dated December 4, 2023

EXHIBIT 16.1 December 4, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Ladies and Gentlemen: We have read Item 4.01 of Form 8-K dated December 4, 2023 of Arrowhead Pharmaceuticals, Inc. and are in agreement with the statements contained in part (a) therein. We have no basis to agree or disagree with the statements in part (b) therein. Rose, Snyder & Jacobs LLP Enc

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 December 5, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2023.

Form of RSU Agreement for Officers and Certain Other Employees (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan)

Name: Number of Restricted Stock Units subject to Award: Date of Grant: Vesting Schedule: Grant ID: ARROWHEAD PHARMACEUTICALS, INC.

Arrowhead Pharmaceuticals Reports Fiscal 2023 Year End Results –Conference Call and Webcast Today, November 29, 2023 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE November 29, 2023 Arrowhead Pharmaceuticals Reports Fiscal 2023 Year End Results –Conference Call and Webcast Today, November 29, 2023 at 4:30 p.m. ET PASADENA, Calif., November 29, 2023 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal year ended September 30, 2023. The company is hosting a conference call today, November

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 November 29, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

Form of RSU Agreement for Employees (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan)

Name: Number of Restricted Stock Units subject to Award: Date of Grant: Vesting Schedule: Grant ID: ARROWHEAD PHARMACEUTICALS, INC.

Form of Stock Option Grant (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan)

a1011-arrowhead2021plan STOCK OPTION GRANT 2021 INCENTIVE PLAN NOTICE OF GRANT (PART I OF THE STOCK OPTION AWARD AGREEMENT) To: (“Optionee”) From: Arrowhead Pharmaceuticals, Inc.

First Amendment to Lease Agreement by and between Arrowhead Pharmaceuticals, Inc. and ARE-SD Region No. 72, LLC, dated September 26, 2023

1 FIRST AMENDMENT TO LEASE THIS FIRST AMENDMENT TO LEASE (this First Amendment ) is dated as of September , 2023 (the Effective Date , by and between ARE-SD REGION NO.

Arrowhead Pharmaceuticals, Inc. Compensation Recoupment (Clawback) Policy, dated November 20, 2023

ARROWHEAD PHARMACEUTICALS, INC COMPENSATION RECOUPMENT (CLAWBACK) POLICY Recoupment of Incentive-Based Compensation It is the policy of Arrowhead Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 August 7, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 August 7, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

Arrowhead Pharmaceuticals Reports Fiscal 2023 Second Quarter Results -Conference Call and Webcast Today, August 7, 2023 at 4:30 p.m. ET

PRESS RELEASE Aug. 7, 2023 Arrowhead Pharmaceuticals Reports Fiscal 2023 Second Quarter Results -Conference Call and Webcast Today, August 7, 2023 at 4:30 p.m. ET PASADENA, Calif., Aug. 7, 2023 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal third quarter ended June 30, 2023. The company is hosting a conference call today, Aug. 7, 2023, at 4:30 p.m

ARWR / Arrowhead Pharmaceuticals Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5)* Name of issuer: Arrowhead Pharmaceuticals Inc. Title of Class of Securities: Common Stock CUSIP Number: 04280A100 Date of Event Which Requires Filing of this Statement: May 31, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is fi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 May 2, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceutic

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 May 2, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commiss

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .

Arrowhead Pharmaceuticals Reports Fiscal 2023 Second Quarter Results -Conference Call and Webcast Today, May 2, 2023 at 4:30 p.m. ET

PRESS RELEASE May 2, 2023 Arrowhead Pharmaceuticals Reports Fiscal 2023 Second Quarter Results -Conference Call and Webcast Today, May 2, 2023 at 4:30 p.

Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Arrowhead Pharmaceuticals, Inc

arrowheadpharmaceuticals Delaware The First State Page 1 3354811 8100 Authentication: 203227797 SR# 20231665245 Date: 04-27-23 You may verify this certificate online at corp.

April 18, 2023 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F. Street, N.E. Washington, D.C. 20549 Attn: Frank Wyman Angela Connell Re: Arrowhead Pharmaceuticals, Inc. Form 10-K for the Fisc

arwrseccommentresponsele April 18, 2023 Via EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F.

As filed with the Securities and Exchange Commission on March 22, 2023

As filed with the Securities and Exchange Commission on March 22, 2023 Registration No.

Calculation of Filing Fee Table*

forms-8feetableex107 Exhibit 107 CALCULATION OF FILING FEE TABLE Form S-8 Arrowhead Pharmaceuticals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 March 16, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 March 16, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

Confidential Treatment Requested by Arrowhead Pharmaceuticals, Inc. FOIA Confidential Treatment Request Pursuant to 17 C.F.R. § 200.83 For Portions of This Letter Described Below March 3, 2023 Via EDGAR Securities and Exchange Commission Division of

arwrseccommentresponsele Confidential Treatment Requested by Arrowhead Pharmaceuticals, Inc.

Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FEBRUARY 10, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

PRESS RELEASE Feb. 15, 2023 Arrowhead Pharmaceuticals Gains Full Rights to NASH Candidate ARO-PNPLA3 with Promising Phase 1 Results - Achieved Up to 40% Mean Reduction in Liver Fat in PNPLA3 I148M Homozygotes After Single-Dose PASADENA, Calif., Feb.

PRESS RELEASE Feb. 15, 2023 Arrowhead Pharmaceuticals Gains Full Rights to NASH Candidate ARO-PNPLA3 with Promising Phase 1 Results - Achieved Up to 40% Mean Reduction in Liver Fat in PNPLA3 I148M Homozygotes After Single-Dose PASADENA, Calif., Feb. 15, 2023 — Arrowhead Pharmaceuticals Inc. (NASDAQ: ARWR) announced today that it has gained rights to ARO-PNPLA3, formerly called JNJ-75220795, which

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 11, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

ARWR / Arrowhead Pharmaceuticals Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv0313-arrowheadpharmaceutic.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 4)* Name of issuer: Arrowhead Pharmaceuticals Inc. Title of Class of Securities: Common Stock CUSIP Number: 04280A100 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 7, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 6, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmac

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 6, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ARROWHEAD RESEARCH CORPORATION (a Delaware corporation)

AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ARROWHEAD RESEARCH CORPORATION (a Delaware corporation) Arrowhead Research Corporation, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), does hereby certify as follows: (a)The name of the Corporation is Arrowhead Research Corporation.

Arrowhead Pharmaceuticals Reports Fiscal 2023 First Quarter Results –Conference Call and Webcast Today, February 6, 2023 at 4:30 p.m. ET

EXHIBIT 99.1 Press Release February 6, 2023 Arrowhead Pharmaceuticals Reports Fiscal 2023 First Quarter Results –Conference Call and Webcast Today, February 6, 2023 at 4:30 p.m. ET PASADENA, Calif., February 6, 2023 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal first quarter ended December 31, 2022. The company is hosting a conference call today,

Royalty Purchase Agreement, dated as of November 9, 2022, by and between Arrowhead Pharmaceuticals, Inc. and Royalty Pharma Investments 2019 ICAV

Royalty Purchase Agreement By and Between Arrowhead Pharmaceuticals, Inc. and Royalty Pharma Investments 2019 ICAV Dated as of November 9, 2022 Table of Contents Page Article 1 DEFINED TERMS AND RULES OF CONSTRUCTION 1 Section 1.1 Definitions 1 Section 1.2 Certain Interpretations 8 Section 1.3 Headings 9 Article 2 PURCHASE, SALE AND ASSIGNMENT OF THE ROYALTY 9 Section 2.1 Closing 9 Section 2.2 No

Second Amended and Restated Bylaws (incorporated by reference from Exhibit 3.1 of the Company’s Form 8-K filed on January 30, 2023)

Exhibit 3.1 SECOND AMENDED AND RESTATED BYLAWS OF ARROWHEAD PHARMACEUTICALS, INC. ARTICLE I STOCKHOLDERS Section 1.1Annual Meeting. (a)General. The annual meeting of stockholders shall be held at the hour, date and place, if any, within or without the State of Delaware which is fixed by the Board of Directors, which time, date and place may subsequently be changed at any time by vote of the Board

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confid

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)

EX-3.1 2 arrowheadpharmaceuticals.htm EX-3.1 Exhibit 3.1 1 SECOND AMENDED AND RESTATED BYLAWS OF ARROWHEAD PHARMACEUTICALS, INC. ARTICLE I STOCKHOLDERS Section 1.1 Annual Meeting. (a) General. The annual meeting of stockholders shall be held at the hour, date and place, if any, within or without the State of Delaware which is fixed by the Board of Directors, which time, date and place may subseque

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 January 24, 2023 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confid

Open Market Sale Agreement, dated as of December 2, 2022, by and between Arrowhead Pharmaceuticals, Inc. and Jefferies LLC

EX-1.1 2 arrowhead-atmxsalesagreeme.htm EX-1.1 OPEN MARKET SALE AGREEMENT1 December 2, 2022 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: Arrowhead Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time through Jefferies LLC, as sales agent and/or principal (th

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 December 2, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

As filed with the Securities and Exchange Commission on December 2, 2022

S-3ASR Table of Contents As filed with the Securities and Exchange Commission on December 2, 2022 Registration No.

Filing Fee Table

EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables FORM S-3 Registration Statement under the Securities Act of 1933 (Form Type) Arrowhead Pharmaceuticals, Inc.

Open Market Sale Agreement, dated December 2, 2022, by and between Arrowhead Pharmaceuticals, Inc. and Jefferies LLC

EX-1.2 Exhibit 1.2 OPEN MARKET SALE AGREEMENTSM December 2, 2022 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: Arrowhead Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time through Jefferies LLC, as sales agent and/or principal (the “Agent”), shares of the C

Form of Indenture

EX-4.2 Exhibit 4.2 ARROWHEAD PHARMACEUTICALS, INC. Debt Securities Indenture Dated as of [ ] [ ], as Trustee CROSS-REFERENCE TABLE This Cross-Reference Table is not a part of the Indenture TIA Section Indenture Section 310(a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (b) 7.08; 7.10; 12.02 311(a) 7.11 (b) 7.11 (c) N.A. 312(a) 2.05 (b) 12.03 (c) 12.03 313(a) 7.06 (b)(1) N.A. (b)(2) 7.06 (c) 12.02

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 November 28, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharma

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 November 28, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) x ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2022.

Arrowhead Pharmaceuticals Reports Fiscal 2022 Third Quarter Results –Conference Call and Webcast Today, November 28, 2022 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE November 28, 2022 Arrowhead Pharmaceuticals Reports Fiscal 2022 Third Quarter Results –Conference Call and Webcast Today, November 28, 2022 at 4:30 p.m. ET PASADENA, Calif., November 28, 2022 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal year ended September 30, 2022. The company is hosting a conference call today, Nove

Entry into a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 9, 2022 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .

Arrowhead Pharmaceuticals Reports Fiscal 2022 Third Quarter Results –Conference Call and Webcast Today, August 4, 2022 at 4:30 p.m. ET

EXHIBIT 99.1 PRESS RELEASE August 4, 2022 Arrowhead Pharmaceuticals Reports Fiscal 2022 Third Quarter Results ?Conference Call and Webcast Today, August 4, 2022 at 4:30 p.m. ET PASADENA, Calif., August 4, 2022 ? Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal third quarter ended June 30, 2022. The company is hosting a conference call today, August 4,

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 August 4, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 July 15, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 June 1, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commis

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 May 10, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commis

Arrowhead Pharmaceuticals Reports Fiscal 2022 Second Quarter Results

Exhibit 99.1 PRESS RELEASE May 10, 2022 Arrowhead Pharmaceuticals Reports Fiscal 2022 Second Quarter Results - Conference Call and Webcast Today, May 10, 2022 at 4:30 p.m. ET PASADENA, Calif., May 10, 2022 ? Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal second quarter ended March 31, 2022. The company is hosting a conference call today, May 10, 202

First Amendment to Exclusive License and Co-Funding Agreement by and between Arrowhead Pharmaceuticals, Inc. and Takeda Pharmaceuticals U.S.A., Inc. dated March 15, 2022

Exhibit 10.1 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. FIRST AMENDMENT TO EXCLUSIVE LICENSE AND CO-FUNDING AGREEMENT This First Amendment (this ?First Amendment?), entered into as of March 15, 2022 but effective retroactively as

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 2, 2022 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commis

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 25, 2022 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Com

Arrowhead Pharmaceuticals and Vivo Capital Launch Joint Venture Aimed at Greater China Market - Visirna Therapeutics, the Joint Venture formed by Arrowhead and Vivo, received an exclusive license in Greater China to four of Arrowhead’s RNAi-based inv

Exhibit 99.1 PRESS RELEASE Apr. 25, 2022 Arrowhead Pharmaceuticals and Vivo Capital Launch Joint Venture Aimed at Greater China Market - Visirna Therapeutics, the Joint Venture formed by Arrowhead and Vivo, received an exclusive license in Greater China to four of Arrowhead?s RNAi-based investigational cardiometabolic medicines - Vivo provided an initial investment of $60 million into Visirna - Ar

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 March 17, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of

ARWR / Arrowhead Pharmaceuticals Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SC 13G/A 1 tv0312-arrowheadpharmaceutic.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3)* Name of issuer: Arrowhead Pharmaceuticals Inc. Title of Class of Securities: Common Stock CUSIP Number: 04280A100 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate

Arrowhead Pharmaceuticals Reports Fiscal 2022 First Quarter Results

Exhibit 99.1 PRESS RELEASE Feb. 2, 2022 Arrowhead Pharmaceuticals Reports Fiscal 2022 First Quarter Results - Conference Call and Webcast Today, February 2, 2022 at 4:30 p.m. ET PASADENA, Calif., Feb. 2, 2022 ? Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal year ended December 31, 2021. The company is hosting a conference call today, February 2, 202

Collaboration and License Agreement by and between Arrowhead Pharmaceuticals, Inc. and Glaxosmithkline Intellectual Property, dated November 22, 2021

EXHIBIT 10.1 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. EXCLUSIVE LICENSE AGREEMENT BY AND BETWEEN ARROWHEAD PHARMACEUTICALS, INC. AND GlaxoSmithKline Intellectual Property (No. 3) Limited DATED AS OF 22 NOVEMBER 2021 [***] = CERT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to .

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 February 2, 2022 Date of Report (Date of earliest event reported) Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

Lease Agreement by and between Arrowhead Pharmaceuticals, Inc. and ARE-SD Region No. 72, LLC, dated November 19, 2021

EXHIBIT 10.2 LEASE AGREEMENT THIS LEASE AGREEMENT (this ?Lease?) is made this 19 day of November, 2021 (the ?Effective Date?), between ARE?SD REGION NO. 72, LLC, a Delaware limited liability company (?Landlord?), and ARROWHEAD PHARMACEUTICALS, INC., a Delaware corporation (?Tenant?). Building: That certain to-be-constructed 1-story building with a mezzanine at 10102 Hoyt Park Drive, San Diego, Cal

Separation and Release of Claims Agreement between Arrowhead Pharmaceuticals, Inc. and James Hassard

[***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confid

Form of RSU Agreement for Employees (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan- Inducement Award)

EXHIBIT 99.2 Name: Number of Restricted Stock Units subject to Award: Date of Grant: Vesting Schedule: Grant ID: ARROWHEAD PHARMACEUTICALS, INC. 2021 INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT (EMPLOYEES) This agreement (this ?Agreement?) evidences an award (the ?Award?) consisting of, in aggregate, the number of restricted stock units set forth in the table above (the ?Restricted Stock Units?

Form of RSU Agreement for Officers and Certain Other Employees (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan- Inducement Award)

EXHIBIT 99.1 Name: Number of Restricted Stock Units subject to Award: Date of Grant: Vesting Schedule: Grant ID: ARROWHEAD PHARMACEUTICALS, INC. 2021 INCENTIVE PLAN RESTRICTED STOCK UNIT AGREEMENT (OFFICERS & CERTAIN OTHER EMPLOYEES) This agreement (this ?Agreement?) evidences an award (the ?Award?) consisting of, in aggregate, the number of restricted stock units set forth in the table above (the

Form of Stock Option Grant (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan- Inducement Award)

EX-99.3 6 d278970dex993.htm EX-99.3 EXHIBIT 99.3 STOCK OPTION GRANT INDUCEMENT AWARD 2021 INCENTIVE PLAN NOTICE OF GRANT (PART I OF THE STOCK OPTION AWARD AGREEMENT) To: (“Optionee”) From: Arrowhead Pharmaceuticals, Inc. We are pleased to inform you that you have been approved for a grant of an option (your “Option”) to purchase shares of Arrowhead Pharmaceuticals, Inc.’s common stock. Your Option

As filed with the Securities and Exchange Commission on December 22, 2021

As filed with the Securities and Exchange Commission on December 22, 2021 Registration No.

Arrowhead Initiates Project to Build New Manufacturing and Lab Facilities

EXHIBIT 99.1 PRESS RELEASE Dec. 20, 2021 Arrowhead Initiates Project to Build New Manufacturing and Lab Facilities PASADENA, Calif., Dec. 20, 2021 ? Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced that it has completed a transaction to purchase 13 acres of land in the Verona Technology Park in Verona, WI, which is planned to be the site of an approximately 140,000 square foot drug m

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 20, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (

IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE J&S EPPERS 2005 REVOCABLE ) TRUST, JOHN EPPERS, THE ) GABRIELLE EPPERS SUT-TR, ) and, PHILLIP JACKSON, ) derivatively on behalf of ) ARROWHEAD ) PHARMACEUTICALS, INC., ) ) Plaintiffs, ) ) v. ) C.A. No

EXHIBIT 99.1 IN THE COURT OF CHANCERY OF THE STATE OF DELAWARE J&S EPPERS 2005 REVOCABLE ) TRUST, JOHN EPPERS, THE ) GABRIELLE EPPERS SUT-TR, ) and, PHILLIP JACKSON, ) derivatively on behalf of ) ARROWHEAD ) PHARMACEUTICALS, INC., ) ) Plaintiffs, ) ) v. ) C.A. No. 2021-0084-PAF ) MARIANNE DE BACKER, ) MAURO FERRARI, DOUGLAS ) GIVEN, OYE OLUKOTUN, ) MICHAEL PERRY, and, WILLIAM ) WADDILL, ) ) Defend

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 16, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ? ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2021.

Arrowhead Pharmaceuticals Reports Fiscal 2021 Year End Results

EXHIBIT 99.1 PRESS RELEASE Nov. 22, 2021 Arrowhead Pharmaceuticals Reports Fiscal 2021 Year End Results - Conference Call and Webcast Today, November 22, 2021 at 4:30 p.m. ET PASADENA, Calif., Nov. 22, 2021 ? Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal year ended September 30, 2021. The company is hosting a conference call today, November 22, 202

List of Subsidiaries

Exhibit 21.1 Subsidiary Jurisdiction Arrowhead Madison Inc. Delaware Arrowhead Australia Pty Ltd Australia

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 22, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 23, 2021 Arrowhead Pharmac

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 23, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

Form of Stock Option Agreement (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan)*

Exhibit 10.2 STOCK OPTION GRANT 2021 INCENTIVE PLAN NOTICE OF GRANT (PART I OF THE STOCK OPTION AWARD AGREEMENT) To: (?Optionee?) From: Arrowhead Pharmaceuticals, Inc. We are pleased to inform you that you have been approved for a grant of an option (your ?Option?) to purchase shares of Arrowhead Pharmaceuticals, Inc.?s common stock. Your Option will be governed by the Company?s 2021 Incentive Pla

Form of Performance RSU Agreement (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan)*

Exhibit 10.1 Name: Number of Restricted Stock Units subject to Award: Date of Grant: Vesting Schedule: Grant ID: Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan Performance Restricted Stock Unit Agreement This agreement (this ?Agreement?) evidences an award (the ?Award?) consisting of, in aggregate, the number of restricted stock units set forth in the table above (the ?Restricted Stock Units?

Form of RSU Agreement (Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan)*

Exhibit 10.3 Name: Number of Restricted Stock Units subject to Award: Date of Grant: Vesting Schedule: Grant ID: Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan Restricted Stock Unit Agreement This agreement (this ?Agreement?) evidences an award (the ?Award?) consisting of, in aggregate, the number of restricted stock units set forth in the table above (the ?Restricted Stock Units? or ?RSUs?)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Arrowhead Pharmaceuticals Reports Fiscal 2021 Third Quarter Results

EXHIBIT 99.1 PRESS RELEASE Aug. 5, 2021 Arrowhead Pharmaceuticals Reports Fiscal 2021 Third Quarter Results - Conference Call and Webcast Today, August 5, 2021 at 4:30 p.m. ET PASADENA, Calif., Aug. 5, 2021 ? Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal third quarter ended June 30, 2021. The company is hosting a conference call today, August 5, 20

Collaboration and License Agreement by and between Arrowhead Pharmaceuticals, Inc. and Horizon Therapeutics Ireland DAC, dated June 18, 2021*†

Exhibit 10.4 Execution Version Confidential [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. COLLABORATION AND LICENSE AGREEMENT This COLLABORATION AND LICENSE AGREEMENT (the ?Agreement?) is entered into as of June 18, 2021 (the ?Effect

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Com

Arrowhead Pharmaceuticals and Horizon Therapeutics Announce Collaboration to Develop RNAi Therapeutic for Uncontrolled Gout - Arrowhead to receive $40 million upfront payment - Horizon to receive a worldwide exclusive license for an investigational s

Exhibit 99.1 PRESS RELEASE June 21, 2021 Arrowhead Pharmaceuticals and Horizon Therapeutics Announce Collaboration to Develop RNAi Therapeutic for Uncontrolled Gout - Arrowhead to receive $40 million upfront payment - Horizon to receive a worldwide exclusive license for an investigational short interfering RNA (siRNA) therapeutic targeting xanthine dehydrogenase (XDH) PASADENA, Calif., and DUBLIN,

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 18, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): June 15, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Comm

As filed with the Securities and Exchange Commission on May 18, 2021

S-8 1 d512029ds8.htm S-8 As filed with the Securities and Exchange Commission on May 18, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ARROWHEAD PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 46-0408024 (State or Other Jurisdiction of Incorpor

Arrowhead Research Corporation 2013 Incentive Plan*

Exhibit 4.4 ARROWHEAD RESEARCH CORPORATION 2013 INCENTIVE PLAN 1. DEFINED TERMS Exhibit A, which is incorporated by reference, defines the terms used in the Plan and sets forth certain operational rules related to those terms. 2. PURPOSE The Plan has been established to advance the interests of the Company by providing for the grant to Participants of Stock-based and other incentive Awards. 3. ADM

Arrowhead Pharmaceuticals, Inc. 2021 Incentive Plan

Exhibit 4.5 ARROWHEAD PHARMACEUTICALS, INC. 2021 INCENTIVE PLAN 1. DEFINED TERMS Exhibit A, which is incorporated by reference, defines the terms used in the Plan and sets forth certain operational rules related to those terms. 2. PURPOSE The Plan has been established to advance the interests of the Company by providing for the grant to Participants of Stock-based and other incentive Awards. 3. AD

Quarterly Report - 10-Q2

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Arrowhead Pharmaceuticals Reports Fiscal 2021 Second Quarter Results

EXHIBIT 99.1 PRESS RELEASE May 4, 2021 Arrowhead Pharmaceuticals Reports Fiscal 2021 Second Quarter Results - Conference Call and Webcast Today, May 4, 2021 at 4:30 p.m. ET PASADENA, Calif., May 4, 2021 ? Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal second quarter ended March 31, 2021. The company is hosting a conference call today, May 4, 2021, a

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 4, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commis

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 18, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Com

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)*

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Arrowhead Pharmaceuticals Inc. Title of Class of Securities: Common Stock CUSIP Number: 04280A100 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule

177 East Colorado Boulevard, Suite 700 Pasadena, CA 91105

CORRESP 1 filename1.htm 177 East Colorado Boulevard, Suite 700 Pasadena, CA 91105 February 5, 2021 Via EDGAR (filed as Correspondence) U. S. Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F Street N.E. Washington, D.C. 20549 Attention: Frank Wyman and Li Xiao Re: Arrowhead Pharmaceuticals, Inc. Form 10-K for the Fiscal Year Ended September 30, 2020 Fil

Amendment No. 6 to Lease Agreement by and between Arrowhead Pharmaceuticals, Inc. and University Research Park, dated November 23, 2020*

Exhibit 10.3 SIXTH AMENDMENT TO LEASE AGREEMENT This Sixth Amendment to Lease Agreement (this “Amendment”) is between University Research Park, Incorporated, a Wisconsin nonstock corporation (“Landlord”) and Arrowhead Madison Inc., a Delaware corporation (“Tenant”) and is dated as of November 23, 2020. RECITALS A.Landlord and Tenant are parties to that certain Lease Agreement dated as of January 8

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 4, 2021 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (C

Amendment No. 1 to Lease Agreement by and between Arrowhead Pharmaceuticals, Inc. and 177 Colorado Owner LLC., dated October 23, 2020*

Exhibit 10.2 FIRST AMENDMENT TO OFFICE LEASE This FIRST AMENMENT TO OFFICE LEASE (‘‘First Amendment’’) is made and entered into on the 23rd day of October, 2020 (the ‘‘Effective Date’’), by and between 177 COLORADO OWNER LLC, a Delaware limited liability company (‘‘Landlord’’), and ARROWHEAD PHARMACEUTICALS, INC., a Delaware corporation (‘‘Tenant’’). R E C I T A L S : A.Landlord and Tenant entered

Amendment No. 7 to Lease Agreement by and between Arrowhead

Exhibit 10.4 SEVENTH AMENDMENT TO LEASE AGREEMENT This Seventh Amendment to Lease Agreement (this “Amendment”) is between University Research Park, Incorporated, a Wisconsin nonstock corporation (“Landlord”) and Arrowhead Madison Inc., a Delaware corporation (“Tenant”) and is dated as of December 9th, 2020. RECITALS A. Landlord and Tenant are parties to that certain Lease Agreement dated as of Jan

Arrowhead Pharmaceuticals Reports Fiscal 2021 First Quarter Results

Exhibit 99.1 PRESS RELEASE Feb. 4, 2021 Arrowhead Pharmaceuticals Reports Fiscal 2021 First Quarter Results - Conference Call and Webcast Today, February 4 at 4:30 p.m. EST PASADENA, Calif., Feb. 4, 2021 — Arrowhead Pharmaceuticals, Inc. (NASDAQ: ARWR) today announced financial results for its fiscal first quarter ended December 31, 2020. The company is hosting a conference call at 4:30 p.m. EST t

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Exclusive License and Co-Funding Agreement by and between Arrowhead Pharmaceuticals, Inc. and Takeda Pharmaceuticals U.S.A., Inc., dated October 7, 2020*†

Exhibit 10.1 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. EXECUTION VERSION Exclusive License and Co-Funding Agreement by and Between Arrowhead Pharmaceuticals Inc. and Takeda Pharmaceuticals U.S.A., Inc. October 7, 2020 [***] = CER

- DEF 14A

DEF 14A 1 d76219ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐

Amendment No. 5 to Lease Agreement between Arrowhead Madison, Inc. and University Research Park, Incorporated, dated May 14, 2020

DocuSign Envelope ID: 256996CC-2BE8-4440-9C25-54EC12980524 10.27 FIFTH AMENDMENT TO LEASE AGREEMENT This Fifth Amendment to Lease Agreement (this “Amendment”) is between University Research Park, Incorporated, a Wisconsin nonstock corporation (“Landlord”) and Arrowhead Madison Inc., a Delaware corporation (“Tenant”) and is dated as of May 14, 2020. RECITALS A.Landlord and Tenant are parties to tha

Amendment No. 2 to Lease Agreement between Arrowhead Madison, Inc. and University Research Park, Incorporated, dated January 10, 2019

10.24 SECOND AMENDMENT TO LEASE AGREEMENT THIS SECOND AMENDMENT TO LEASE AGREEMENT (the “Second Amendment”) is made as of January 10, 20l9 (the “Effective Date”), by and between UNIVERSITY RESEARCH PARK, INCORPORATED, a Wisconsin non-stock corporation (hereinafter referred to as “Landlord”) and ARROWHEAD MADISON INC. a Delaware corporation (hereinafter referred to as “Tenant”). This Second Amendme

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2020.

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 23, 2020 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (

Amendment No. 3 to Lease Agreement between Arrowhead Madison, Inc. and University Research Park, Incorporated, dated January 11, 2019

10.25 THIRD AMENDMENT TO LEASE AGREEMENT THIS THIRD AMENDMENT TO LEASE AGREEMENT (the “Third Amendment”) is made as of January 11, 2019 (the “Effective Date”), by and between UNIVERSITY RESEARCH PARK, INCORPORATED, a Wisconsin non-stock corporation (hereinafter referred to as “Landlord”) and ARROWHEAD MADISON INC., a Delaware corporation (hereinafter referred to as “Tenant”). RECITALS A. On Januar

Amendment No. 4 to Lease Agreement between Arrowhead Madison, Inc. and University Research Park, Incorporated, dated September 19, 2019

10.26 FOURTH AMENDMENT TO LEASE AGREEMENT This Fourth Amendment to Lease Agreement (this “Amendment”) is between University Research Park, Incorporated, a Wisconsin nonstock corporation (“Landlord”) and Arrowhead Madison Inc., a Delaware corporation (“Tenant’) and is dated as of September 19, 2019. RECITALS A.Landlord and Tenant are parties to that certain Lease Agreement dated as of January 8, 20

List of Subsidiaries*

Exhibit 21.1 Subsidiary Jurisdiction Arrowhead Madison Inc. Delaware Arrowhead Australia Pty Ltd Australia

Amendment No. 1 to Lease Agreement between Arrowhead Pharmaceuticals, Inc. and University Research Park, Incorporated, dated October 22, 2018*+

10.23 FIRST AMENDMENT TO LEASE AGREEMENT THIS FIRST AMENDMENT TO LEASE AGREEMENT (the “First Amendment”) is made as of October 22, 2018 (the “Effective Date”), by and between UNIVERSITY RESEARCH PARK, INCORPORATED, a Wisconsin non-stock corporation (hereinafter referred to as “Landlord”) and ARROWHEAD MADISON INC. a Delaware corporation (hereinafter referred to as “Tenant”). RECITALS A. On January

Arrowhead Pharmaceuticals Reports Fiscal 2020 Year End Results

Exhibit 99.1 PRESS RELEASE Nov. 23, 2020 Arrowhead Pharmaceuticals Reports Fiscal 2020 Year End Results - Conference Call and Webcast Today, November 23 at 4:30 p.m. EST PASADENA, Calif., Nov. 23, 2020 — Arrowhead Pharmaceuticals Inc. (NASDAQ: ARWR) today announced financial results for its fiscal year ended September 30, 2020. The company is hosting a conference call at 4:30 p.m. EST to discuss r

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 7, 2020 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Co

Takeda and Arrowhead Collaborate to Co-Develop and Co-Commercialize ARO-AAT for Alpha-1 Antitrypsin-Associated Liver Disease

Exhibit 99.1 News Release Takeda and Arrowhead Collaborate to Co-Develop and Co-Commercialize ARO-AAT for Alpha-1 Antitrypsin-Associated Liver Disease − Potential first-in-class therapy designed to treat the underlying cause of liver disease associated with AATD − Arrowhead is eligible to receive up to $1.04B including an upfront payment of $300M and potential development, regulatory and commercia

- 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 1, 2020 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (

Open Market Sale Agreement, dated as of August 5, 2020, by and between Arrowhead Pharmaceuticals, Inc. and Jefferies LLC

1.1 OPEN MARKET SALE AGREEMENTSM August 5, 2020 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: Arrowhead Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell from time to time through Jefferies LLC, as sales agent and/or principal (the “Agent”), shares of the Company’s common s

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2020 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Com

Arrowhead Pharmaceuticals Reports Fiscal 2020 Third Quarter Results

Exhibit 99.1 PRESS RELEASE Aug. 5, 2020 Arrowhead Pharmaceuticals Reports Fiscal 2020 Third Quarter Results - Conference Call and Webcast Today, August 5 at 4:30 p.m. EDT PASADENA, Calif., Aug. 5, 2020 — Arrowhead Pharmaceuticals Inc. (NASDAQ: ARWR) today announced financial results for its fiscal third quarter ended June 30, 2020. The company is hosting a conference call at 4:30 p.m. EDT to discu

CALCULATION OF REGISTRATION FEE Title of Securities to be Registered Proposed Maximum Aggregate Offering Price Amount of Registration Fee(1) Common stock, par value $0.001 per share $250,000,000 $32,450.00

424B5 1 d80466d424b5.htm 424B5 Table of Contents As Filed Pursuant to Rule 424(b)(5) Registration No.: 333-235324 CALCULATION OF REGISTRATION FEE Title of Securities to be Registered Proposed Maximum Aggregate Offering Price Amount of Registration Fee(1) Common stock, par value $0.001 per share $250,000,000 $32,450.00 (1) Calculated in accordance with Rule 457(o) under the Securities Act of 1933,

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

- S-8

S-8 As filed with the Securities and Exchange Commission on May 22, 2020 Registration No.

Sublease Agreement by and between Halozyme, Inc. and Arrowhead Pharmaceuticals, Inc. dated March 3, 2020†

[***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED.

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 7, 2020 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commis

Arrowhead Pharmaceuticals Reports Fiscal 2020 Second Quarter Results

Exhibit 99.1 PRESS RELEASE May 7, 2020 Arrowhead Pharmaceuticals Reports Fiscal 2020 Second Quarter Results - Conference Call and Webcast Today, May 7 at 4:30 p.m. EDT PASADENA, Calif., May 7, 2020 — Arrowhead Pharmaceuticals Inc. (NASDAQ: ARWR) today announced financial results for its fiscal second quarter ended March 31, 2020. The company is hosting a conference call at 4:30 p.m. EDT to discuss

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 1, 2020 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Commis

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 14, 2020 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Com

ARWR / Arrowhead Pharmaceuticals, Inc. / RTW INVESTMENTS, LLC Passive Investment

SC 13G/A 1 sc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Arrowhead Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 04280A100 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the

Joint Filing Statement Pursuant to Rule 13d-1(k)(1)

Exhibit 1 Joint Filing Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to the joint filing of Schedule 13G Amendment No.

ARWR / Arrowhead Pharmaceuticals, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Arrowhead Pharmaceuticals Inc Title of Class of Securities: Common Stock CUSIP Number: 04280A100 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule i

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 arwr-8k20200205.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): February 5, 2020 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jur

Arrowhead Pharmaceuticals Reports Fiscal 2020 First Quarter Results

Exhibit 99.1 PRESS RELEASE Feb. 5, 2020 Arrowhead Pharmaceuticals Reports Fiscal 2020 First Quarter Results - Conference Call and Webcast Today, Feb. 5 at 4:30 p.m. EST PASADENA, Calif., Feb. 5, 2020 — Arrowhead Pharmaceuticals Inc. (NASDAQ: ARWR) today announced financial results for its fiscal first quarter ended December 31, 2019. The company is hosting a conference call at 4:30 p.m. EST to dis

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

ARWR / Arrowhead Pharmaceuticals, Inc. / FIRST MANHATTAN CO - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ARROWHEAD PHARMACEUTICALS (Name of Issuer) COMMON (Title of Class of Securities) 04280A100 (CUSIP Number) Calendar Year 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to

Amended and Restated Bylaws of Arrowhead Pharmaceuticals, Inc. (2)

DEF 14A 1 d864868ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐

ARWR / Arrowhead Pharmaceuticals, Inc. PRE 14A - - PRE 14A

PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 12, 2019 Arrowhead Pharmaceuticals, Inc.

Underwriting Agreement, dated as of December 3, 2019, among Arrowhead Pharmaceuticals, Inc. and Goldman Sachs & Co. LLC, Jefferies, LLC, and Piper Jaffray & Co., as representatives of the underwriters named therein.

EX-1.1 Exhibit 1.1 4,000,000 Shares Arrowhead Pharmaceuticals, Inc. UNDERWRITING AGREEMENT December 3, 2019 GOLDMAN SACHS & CO. LLC JEFFERIES LLC PIPER JAFFRAY & CO. As Representatives of the several Underwriters c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o Jefferies LLC 520 Madison Avenue New York, New York 10022 c/o Piper Jaffray & Co. U.S. Bancorp Center 800 Nicollet

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 3, 2019 Arrowhead Pharmaceuticals, Inc.

CALCULATION OF REGISTRATION FEE Title of Securities to be Registered Amount to be Registered(1) Proposed Maximum Offering Price Per Share Proposed Maximum Aggregate Offering Price Amount of Registration Fee(2) Common stock, par value $0.001 per share

424B5 Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-235324 CALCULATION OF REGISTRATION FEE Title of Securities to be Registered Amount to be Registered(1) Proposed Maximum Offering Price Per Share Proposed Maximum Aggregate Offering Price Amount of Registration Fee(2) Common stock, par value $0.001 per share 4,600,000 $58.00 $266,800,000 $34,630.64 (1) Includes 600,000 sh

SUBJECT TO COMPLETION, DATED DECEMBER 2, 2019

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No.

Form of Indenture

EX-4.2 Exhibit 4.2 ARROWHEAD PHARMACEUTICALS, INC. Debt Securities Indenture Dated as of [ ] [ ], as Trustee CROSS-REFERENCE TABLE This Cross-Reference Table is not a part of the Indenture TIA Section Indenture Section 310(a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (b) 7.08; 7.10; 12.02 311(a) 7.11 (b) 7.11 (c) N.A. 312(a) 2.05 (b) 12.03 (c) 12.03 313(a) 7.06 (b)(1) N.A. (b)(2) 7.06 (c) 12.02

ARWR / Arrowhead Pharmaceuticals, Inc. S-3ASR - - S-3ASR

S-3ASR 1 d807419ds3asr.htm S-3ASR Table of Contents As filed with the Securities and Exchange Commission on December 2, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Arrowhead Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 46-0408024 (State or

Amendment No. 1 to Research Collaboration and Option Agreement by and between Arrowhead Pharmaceuticals, Inc. and Janssen Pharmaceuticals, Inc., dated November 14, 2019†

EXHIBIT 10.21 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. Amendment #1 to Research collaboration and option agreement This Amendment (hereinafter “Amendment #1”), is made, and effective, as of the date of execution by the last Part

Amendment No. 2 to License Agreement by and between Arrowhead Pharmaceuticals, Inc. and Janssen Pharmaceuticals, Inc., dated February 4, 2019†

EXHIBIT 10.20 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. AMENDMENT NO. 2 TO LICENSE AGREEMENT THIS AMENDMENT NO. 2 TO LICENSE AGREEMENT (this “Second Amendment”) is made and entered into as of February 4, 2019 (the “Second Amendme

Amendment No. 1 to License Agreement by and between Arrowhead Pharmaceuticals, Inc. and Janssen Pharmaceuticals, Inc., dated December 18, 2018*†

EXHIBIT 10.19 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. AMENDMENT NO. 1 TO LICENSE AGREEMENT THIS AMENDMENT NO. 1 TO LICENSE AGREEMENT (this “Amendment”) is made and entered into as of 18 December 2018 (the “Amendment Effective D

Annual Report - 10-K

s UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2019.

List of Subsidiaries*

Exhibit 21.1 Subsidiary Jurisdiction Ablaris Therapeutics, Inc. Delaware Arrowhead Madison Inc. Delaware Arrowhead Australia Pty Ltd Australia

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 25, 2019 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (

Arrowhead Pharmaceuticals Reports Fiscal Year 2019 Results

Exhibit 99.1 PRESS RELEASE Nov. 25, 2019 Arrowhead Pharmaceuticals Reports Fiscal Year 2019 Results - Conference Call and Webcast Today at 4:30 p.m. EST PASADENA, Calif., Nov. 25, 2019 — Arrowhead Pharmaceuticals Inc. (NASDAQ: ARWR) today announced financial results for its fiscal year ended September 30, 2019. The company is hosting a conference call at 4:30 p.m. EST to discuss results. Conferenc

Description of Registrant’s Securities

Exhibit 4.4 DESCRIPTION OF REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following is a description of our common stock and a summary of our preferred stock. You should refer to our Amended and Restated Certificate of Incorporation (the “Certificate of Incorporation”) and our Amended and Restated Bylaws (the “Bylaws”), each of which is filed a

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 arwr-8k20191115.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 15, 2019 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other ju

ARWR / Arrowhead Pharmaceuticals, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment

SC 13G 1 tv0001-arrowheadpharmaceutic.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Arrowhead Pharmaceuticals Inc Title of Class of Securities: Common Stock CUSIP Number: 04280A100 Date of Event Which Requires Filing of this Statement: September 30, 2019 Check the appropriate box to designate the ru

Arrowhead Pharmaceuticals Reports Fiscal 2019 Third Quarter Results

Exhibit 99.1 PRESS RELEASE Aug. 5, 2019 Arrowhead Pharmaceuticals Reports Fiscal 2019 Third Quarter Results - Conference Call and Webcast Today at 4:30 p.m. EDT PASADENA, Calif., Aug. 5, 2019 — Arrowhead Pharmaceuticals Inc. (NASDAQ: ARWR) today announced financial results for its fiscal 2019 third quarter ended June 30, 2019. The company is hosting a conference call at 4:30 p.m. EDT to discuss re

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): August 5, 2019 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Com

ARWR / Arrowhead Pharmaceuticals, Inc. 10-Q - Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Office Lease by and between 177 Colorado Owner LLC and Arrowhead Pharmaceuticals, Inc., dated April 17, 2019

EXECUTION COPY EXHIBIT 10.1 177 E. COLORADO BOULEVARD OFFICE LEASE This Office Lease (the "Lease"), dated as of the date set forth in Section 1 of the Summary of Basic Lease Information (the "Summary"), below, is made by and between 177 COLORADO OWNER LLC, a Delaware limited liability company ("Landlord"), and ARROWHEAD PHARMACEUTICALS, INC., a Delaware corporation ("Tenant"). SUMMARY OF BASIC LEA

Arrowhead Pharmaceuticals Reports Fiscal 2019 Second Quarter Results

Exhibit 99.1 PRESS RELEASE May 8, 2019 Arrowhead Pharmaceuticals Reports Fiscal 2019 Second Quarter Results - Conference Call and Webcast Today at 4:30 p.m. EDT PASADENA, Calif., May 8, 2019 — Arrowhead Pharmaceuticals Inc. (NASDAQ: ARWR) today announced financial results for its fiscal 2019 second quarter ended March 31, 2019. The company is hosting a conference call at 4:30 p.m. EDT to discuss r

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 arwr-8k20190508.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 8, 2019 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdic

ARWR / Arrowhead Pharmaceuticals, Inc. 10-Q Quarterly Report 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-38042 ARROWHEAD PHARMACEUTICALS, INC.

Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): April 17, 2019 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporation) (Com

ARWR / Arrowhead Pharmaceuticals, Inc. S-8

S-8 1 d711932ds8.htm S-8 As filed with the Securities and Exchange Commission on March 29, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ARROWHEAD PHARMACEUTICALS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 46-0408024 (State or Other Jurisdiction of Incorp

Submission of Matters to a Vote of Security Holders

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): March 15, 2019 Arrowhead Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38042 46-0408024 (State or other jurisdiction of incorporat

ARWR / Arrowhead Pharmaceuticals, Inc. / RTW INVESTMENTS, LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

Joint Filing Statement Pursuant to Rule 13d-1(k)(1)

Exhibit 1 Joint Filing Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to the joint filing of Schedule 13G Amendment No.

ARWR / Arrowhead Pharmaceuticals, Inc. / FIRST MANHATTAN CO - NONE Passive Investment

SC 13G 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. n/a )* ARROWHEAD PHARMACEUTICALS (Name of Issuer) COMMON (Title of Class of Securities) 04280A100 (CUSIP Number) Calendar Year 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule