Arrowhead Pharma SEC Filings

Arrowhead Research (ARWR) Form 144 notice: An individual identified as James Hamilton plans to sell 15,000 common shares through Merrill Lynch on 09/02/2025 with an aggregate market value of $374,970.05. The filing shows 138,257,550 shares outstanding for the issuer and names NASDAQ as the exchange.

The filing discloses the acquisition history for the shares being sold: multiple compensation grants between 01/04/2022 and 01/04/2025 totaling the reported units, and prior sales in August 2025 of 611 and 9,389 shares generating gross proceeds of $12,190.05 and $187,750.05, respectively. The filer affirms no undisclosed material adverse information.

Arrowhead Research entered an exclusive licensing agreement with Novartis for ARO-SNCA, a preclinical RNAi therapeutic targeting Parkinson's disease and other synucleinopathies. Arrowhead will complete preclinical work while Novartis is responsible for clinical development, manufacturing, and commercialization. Arrowhead will receive a $200 million upfront payment, potential up to $2 billion in development, regulatory, and sales milestones, and is eligible for tiered royalties up to the low double digits on net product sales. The transactions are subject to customary closing conditions, including the expiration of the Hart-Scott-Rodino waiting period. The full agreement text will be filed as an exhibit to Arrowhead's annual report for the year ending September 30, 2025.

James C. Hamilton, Chief Medical Officer of Arrowhead Pharmaceuticals (ARWR), reported two open-market sales of common stock executed under a Rule 10b5-1 trading plan. On 08/13/2025 he sold 611 shares at $20 per share and on 08/15/2025 he sold 9,389 shares at $20 per share, for total reported disposals of 10,000 shares at $20 each. After these transactions he beneficially owned 262,122 shares, down from 271,511 shares prior to the sales. The filing notes that the post-transaction total includes previously reported shares underlying restricted stock units, some of which remain subject to vesting conditions.

Amendment No. 1 to Schedule 13D updates prior disclosure that Sarepta Therapeutics, Inc. and its affiliate Sarepta Therapeutics Investments, Inc. no longer hold any shares of Arrowhead Pharmaceuticals, Inc. The amendment states that on August 13, 2025 Sarepta Investments sold 9,265,312 shares in a privately negotiated block trade at $18.79 per share and, concurrently, Sarepta Investments sold an additional 2,660,989 shares back to Arrowhead in a redemption under a Letter Agreement to satisfy a $49,999,983.31 milestone payment obligation. After these transactions the reporting persons beneficially own 0 shares (0.0% of the class) and ceased to be beneficial owners of more than 5% of Arrowhead's common stock.

This Form 144 notice states that 9,389 shares of common stock are proposed for sale through Merrill Lynch on 08/15/2025, with an aggregate market value of $187,750.05. The filing lists the number of shares outstanding as 138,257,550 and names the exchange as NASDAQ.

The securities were acquired as compensation from James Hamilton on multiple dates between 01/04/2022 and 01/04/2025, with specified lot sizes included. The filer also reported a recent sale of 611 shares on 08/13/2025 for gross proceeds of $12,190.05. The form includes the standard attestation that the person signing does not possess undisclosed material adverse information.

Avoro Capital Advisors LLC and Behzad Aghazadeh report beneficial ownership of 11,517,441 shares of Arrowhead Pharmaceuticals common stock, representing 8.3% of the outstanding class. The reported position includes 917,441 shares issuable upon exercise of warrants and the percentage is calculated on an aggregate of 138,100,435 shares outstanding as disclosed in the company's quarterly report.

The filing states Avoro holds sole voting and sole dispositive power over these shares and that the holdings are held for investment purposes on behalf of Avoro Life Sciences Fund LLC. The filing notes the report should not be construed as an admission of beneficial ownership for Section 13 purposes.

Sarepta Therapeutics Investments, Inc., a wholly owned subsidiary of Sarepta Therapeutics, Inc., filed a Form 144 notice indicating a proposed sale of 9,265,312 shares of common stock of the issuer through Jefferies LLC on Nasdaq. The filing reports an aggregate market value of $185,213,586.88 and lists total shares outstanding as 138,257,550. The approximate date of sale is 08/13/2025.

The filing states these securities were acquired in a private placement from the issuer on 02/07/2025 by Sarepta Therapeutics Investments, Inc., with 11,926,301 shares acquired and payment made in cash on that date. The notice includes the standard representation that the person for whose account the securities are to be sold does not know of any undisclosed material adverse information.

Form 144 filed for ARWR reports a proposed sale of 611 common shares through Merrill Lynch on the NASDAQ with an aggregate market value of $12,190.05 and 138,257,550 shares outstanding. The notice specifies an approximate sale date of 08/13/2025.

The filing lists the acquisition history for the shares being sold: grants received as compensation on 01/04/2022 (3,485), 01/02/2023 (15,802), 01/04/2023 (12,557), 01/04/2024 (1,167), 01/08/2024 (4,950) and 01/04/2025 (27,271), with the named transferor in those records shown as James Hamilton. The form indicates no securities sold in the past three months and includes the required representation that the seller does not possess undisclosed material information.

Daniel Joseph Apel, Chief Financial Officer of Arrowhead Pharmaceuticals (ARWR), reported direct beneficial ownership of 101,200 shares of common stock. The filing specifies that this total includes 100,000 restricted stock units that will vest over four years, disclosed on an initial Form 3.