ARROWHEAD PHARMACEUTICALS, INC. 10-Q

ITEM 5. OTHER INFORMATION (c) Trading Plans During the quarter ended March 31, 2024, the following directors and officers (as defined in Exchange Act Rule 16a-1(f)) adopted certain trading plans intended to satisfy Rule 10b5-1(c): Name Title Adoption Date Plan Start Date Plan End Date Shares Vesting and Subject to Sell-To- Cover (1) Other Shares Being Sold (Subject to Certain Conditions) James Hamilton Chief Discovery and Translational Medicine 3/26/2024 1/6/2025 1/17/2025 60,000 n/a Ken Myszkowski Chief Financial Officer 3/12/2024 6/11/2024 2/28/2025 n/a 115,000 Ken Myszkowski Chief Financial Officer 3/28/2024 1/6/2025 1/17/2025 15,000 n/a Ken Myszkowski Chief Financial Officer 3/28/2024 1/6/2025 1/17/2025 15,000 n/a Ken Myszkowski Chief Financial Officer 3/28/2024 1/6/2025 1/17/2025 15,000 n/a Ken Myszkowski Chief Financial Officer 3/28/2024 1/6/2025 1/17/2025 18,750 n/a Patrick O'Brien Chief Operating Officer and General Counsel 3/21/2024 1/6/2025 1/17/2025 67,500 n/a William Waddill Board Member 3/27/2024 12/16/2024 12/31/2024 n/a 7,495 (1) This column indicates the total number of shares vesting in connection with equity awards, not the number of shares to be sold. The actual number of shares to be sold will be a smaller number based on whatever is required to satisfy payment of applicable withholding taxes under sell-to-cover arrangements. 29 ITEM 6. EXHIBITS Exhibit Number Document Description 3.1 Amended and Restated Certificate of Incorporation (incorporated by reference from Exhibit 3.3 of the Company’s Form 8-K filed on April 6, 2016) 3.2 Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Arrowhead Pharmaceuticals, Inc . (incorporated by reference from Exhibit 3.2 of the Company’s Form 10-Q filed on May 2, 2023) 3.3 Second Amended and Restated Bylaws of Arrowhead Pharmaceuticals, Inc., as amended January 24, 2023(incorporated by reference from Exhibit 3.3 of the Company’s Form 10-Q filed on May 2, 2023) 10.1* Arrowhead Pharmaceuticals, Inc. Inducement Plan 31.1* Certification of Chief Executive Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2* Certification of Chief Financial Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 32.1** Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.2** Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 101.INS* Inline XBRL Instance Document 101.SCH* Inline XBRL Taxonomy Extension Schema Document 101.CAL* Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.LAB* Inline XBRL Taxonomy Extension Label Linkbase Document 101.PRE* Inline XBRL Taxonomy Extension Presentation Linkbase Document 101.DEF* Inline XBRL Taxonomy Extension Definition Linkbase Document 104* The cover page from this Quarterly Report on Form 10-Q, formatted in Inline XBRL (included as Exhibit 101) _________________ * Filed herewith. ** Furnished herewith. † Certain portions of this exhibit were redacted by means of marking such portions with asterisks because the identified portions are (i) not material and (ii) treated as private or confidential by the Company. 30 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Quarterly Report on Form 10-Q to be signed on its behalf by the undersigned, thereunto duly authorized. Dated: May 9, 2024 ARROWHEAD PHARMACEUTICALS, INC. By: /s/ Kenneth A. Myszkowski Kenneth A. Myszkowski Chief Financial Officer (Principal Financial Officer and Duly Authorized Officer) 31