4,000,000 Shares Arrowhead Pharmaceuticals, Inc. UNDERWRITING AGREEMENTUnderwriting Agreement • December 6th, 2019 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
COMMON STOCK PURCHASE WARRANT ARROWHEAD RESEARCH CORPORATIONArrowhead Research Corp • January 30th, 2013 • Services-commercial physical & biological research • California
THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise Date”) and on or prior to the close of business on the fifth anniversary of the Issue Date (the “Termination Date”) but not thereafter, to subscribe for and purchase from Arrowhead Research Corporation, a Delaware corporation (the “Company”), up to shares (as subject to adjustment hereunder, the “Warrant Shares”) of Common Stock. The purchase price of one share of Common Stock under this Warrant shall be equal to the Exercise Price, as defined in Section 2(b).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • August 13th, 2012 • Arrowhead Research Corp • Services-commercial physical & biological research • New York
This Securities Purchase Agreement (this “Agreement”) is dated as of August 10, 2012 between Arrowhead Research Corporation, a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • October 26th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • Illinois
REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of October 20, 2011, by and between ARROWHEAD RESEARCH CORPORATION, a Delaware corporation, (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (together with its permitted assigns, the “Buyer”). Capitalized terms used herein and not otherwise defined herein shall have the respective meanings set forth in the Purchase Agreement by and between the parties hereto, dated as of the date hereof (as amended, restated, supplemented or otherwise modified from time to time, the “Purchase Agreement”).
RIGHTS AGREEMENT between ARROWHEAD PHARMACEUTICALS, INC. and COMPUTERSHARE TRUST COMPANY, N.A., as Rights Agent Dated as of March 21, 2017Rights Agreement • March 23rd, 2017 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
RIGHTS AGREEMENT, dated as of March 21, 2017 (this “Agreement”), between Arrowhead Pharmaceuticals, Inc. (f/k/a Arrowhead Research Corporation), a Delaware corporation (the “Company”), and Computershare Trust Company, N.A., a federally chartered trust company (the “Rights Agent”).
OPEN MARKET SALE AGREEMENTSMArrowhead Pharmaceuticals, Inc. • December 5th, 2022 • Pharmaceutical preparations • New York
OPEN MARKET SALE AGREEMENT1Open Market Sale • December 8th, 2022 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
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 stock, par value $0.001 per share (the “Common Shares”), having an aggregate offering price of up to $250,000,000 on the terms set forth in this agreement (this “Agreement”).
6,592,989 Units ARROWHEAD RESEARCH CORPORATION PLACEMENT AGENT AGREEMENTPlacement Agent Agreement • June 18th, 2010 • Arrowhead Research Corp • Services-commercial physical & biological research • New York
STOCK PURCHASE AND EXCHANGE AGREEMENT THIS STOCK PURCHASE AND EXCHANGE AGREEMENT (this "Agreement") is made and entered into as of the 10th day of December, 2003, by and between INTERACTIVE GROUP, INC., a Delaware corporation (the "Company"), and the...Stock Purchase and Exchange Agreement • January 13th, 2004 • Arrowhead Research Corp • Telephone & telegraph apparatus • California
OFFICE LEASEOffice Lease • August 5th, 2019 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations • Colorado
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").
2 - Shares or in the form first made available to the Underwriters by the Company to meet requests of purchasers pursuant to Rule 173 under the Securities Act. As used herein, “Applicable Time” is 9:00 p.m. (New York City time) on January 2, 2024. As...Arrowhead Pharmaceuticals, Inc. • January 4th, 2024 • Pharmaceutical preparations • New York
PURCHASE AGREEMENTPurchase Agreement Purchase Agreement • October 26th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • Illinois
PURCHASE AGREEMENT (the “Agreement”), dated as of October 20, 2011, by and between ARROWHEAD RESEARCH CORPORATION, a Delaware corporation (the “Company”), and LINCOLN PARK CAPITAL FUND, LLC, an Illinois limited liability company (the “Investor”).
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • February 7th, 2019 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
This Agreement is made pursuant to the Stock Purchase Agreement, dated as of October 3, 2018, between the Company and the Purchaser (the “Purchase Agreement”).
REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this "Agreement") is made and entered into as of January __, 2004, by and between INTERACTIVE GROUP, INC., a Delaware corporation (the "Company"), and the individuals listed on the...Registration Rights Agreement • January 13th, 2004 • Arrowhead Research Corp • Telephone & telegraph apparatus • Delaware
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • August 10th, 2016 • Arrowhead Pharmaceuticals, Inc. • Services-commercial physical & biological research • New York
This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of August 8, 2016 (the “Effective Date”) by and among Arrowhead Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each of those persons and entities, severally and not jointly, listed as a Purchaser on the Schedule of Purchasers attached as Schedule I hereto (each a “Purchaser” and together the “Purchasers”). Certain terms used and not otherwise defined in the text of this Agreement are defined in Section 11 hereof.
LEASE AGREEMENTLease Agreement • February 2nd, 2022 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations
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”).
UNIDYM, INC. SUBSCRIPTION AGREEMENT SERIES C-1 PREFERRED STOCKSubscription Agreement • August 10th, 2009 • Arrowhead Research Corp • Services-commercial physical & biological research • California
THIS SUBSCRIPTION AGREEMENT (this “Agreement”) is made as of the last date indicated on the signature pages hereto between Unidym, Inc., a Delaware corporation (the “Company”), and the undersigned investor party hereto (“Investor”).
SECOND AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENTInvestors’ Rights Agreement • December 22nd, 2009 • Arrowhead Research Corp • Services-commercial physical & biological research • Delaware
This Second Amended and Restated Investors’ Rights Agreement (the “Agreement”) is made as of the September 30, 2009, by and between Unidym, Inc., a Delaware corporation (the “Company”), each of the investors listed on Schedule A hereto (each of which is referred to in this Agreement as an “Investor”) and each of the stockholders listed on Schedule B hereto (each of which is referred to in this Agreement as a “Stockholder”).
STRICTLY CONFIDENTIAL Arrowhead Research CorporationLetter Agreement • January 30th, 2013 • Arrowhead Research Corp • Services-commercial physical & biological research • New York
SUBSCRIPTION AGREEMENTSubscription Agreement • October 26th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • California
This Subscription Agreement (this “Agreement”) is made and entered into as of October 21, 2011 by and among Arrowhead Research Corporation, a Delaware corporation (the “Company”), and the undersigned hereto (each a “Purchaser” and together the “Purchasers”). Certain terms used and not otherwise defined in the text of this Agreement are defined in Section 9 hereof.
INVESTOR SUBSCRIPTION AGREEMENTInvestor Subscription Agreement • January 30th, 2013 • Arrowhead Research Corp • Services-commercial physical & biological research • Delaware
This Investor Subscription Agreement (this “Agreement”) is entered into on January , 2013 by and between Arrowhead Research Corporation, a Delaware corporation (the “Company”), and the Purchaser identified on the signature page hereto (the “Purchaser”).
Royalty Purchase Agreement By and Between Arrowhead Pharmaceuticals, Inc. and Royalty Pharma Investments 2019 ICAV Dated as of November 9, 2022Royalty Purchase Agreement • February 6th, 2023 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
This ROYALTY PURCHASE AGREEMENT, dated as of November 9, 2022 (this “Agreement”), is made and entered into by and between Arrowhead Pharmaceuticals, Inc., a Delaware corporation (the “Seller”), on the one hand, and Royalty Pharma Investments 2019 ICAV, an Irish collective asset-management vehicle (the “Buyer”), on the other hand. Unless otherwise defined in this Agreement, capitalized terms have the meanings ascribed to them in Section 1 below.
SERIES B PREFERRED STOCK PURCHASE AGREEMENTPreferred Stock Purchase Agreement • July 25th, 2008 • Arrowhead Research Corp • Services-commercial physical & biological research • Delaware
THIS SERIES B PREFERRED STOCK PURCHASE AGREEMENT is made as of the 23rd day of July, 2008 by and among Nanotope, Inc., a Delaware corporation (the “Company”), Arrowhead Research Corporation, a Delaware corporation, and the investors listed on Exhibit A attached to this Agreement (each an “Initial Purchaser”) and the investors listed on Exhibit A attached to this Agreement (each a “Subsequent Purchasers” and together with the Initial Purchasers, the “Purchasers”).
CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT WERE OMITTED AND REPLACED WITH “[**]”. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING...Stock and Asset Purchase Agreement • December 20th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • Delaware
AGREEMENT (this “Agreement”) dated as of October 21, 2011 by and among Arrowhead Research Corporation, a Delaware corporation (“Buyer”), Hoffmann-La Roche Inc., a New Jersey corporation (“Roche Nutley”), and F. Hoffmann-La Roche Ltd, a Swiss corporation (“Roche Basel” and, together with Roche Nutley, “Sellers”).
SEVERANCE AGREEMENTSeverance Agreement • May 30th, 2007 • Arrowhead Research Corp • Services-commercial physical & biological research • California
This SEVERANCE AGREEMENT (the “Agreement”) is made and entered into effective May 24, 2007, by and between Arrowhead Research Corporation, a Delaware corporation (the “Company”), and R. Bruce Stewart, an individual (the “Executive”).
ARROWHEAD RESEARCH CORPORATION SUBSCRIPTION AGREEMENTSubscription Agreement • December 22nd, 2009 • Arrowhead Research Corp • Services-commercial physical & biological research • Delaware
PATENT AND TECHNOLOGY LICENSE AGREEMENTPatent and Technology License Agreement • February 10th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • Texas
This AGREEMENT (“AGREEMENT”) is made on this 14th day of December, 2010, by and between THE BOARD OF REGENTS (“BOARD”) of THE UNIVERSITY OF TEXAS SYSTEM (“SYSTEM”), an agency of the State of Texas, whose address is 201 West 7th Street, Austin, Texas 78701, on behalf of THE UNIVERSITY OF TEXAS M. D. ANDERSON CANCER CENTER (“UTMDACC”), a member institution of SYSTEM, and ARROWHEAD RESEARCH CORPORATION a Delaware corporation having a principal place of business located at 201 South Lake Avenue, Suite 703, Pasadena, CA 91101 (“LICENSEE”).
AGREEMENT AND PLAN OF MERGER AMONG WISEPOWER CO., LTD., UNICYCLE ACQUISITION CORP., UNIDYM, INC. AND ARROWHEAD RESEARCH CORPORATIONAgreement and Plan of Merger • January 21st, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • California
This AGREEMENT AND PLAN OF MERGER (this “Agreement”) is entered into as of January 17, 2011 (the “Agreement Date”) by and among Wisepower Co., Ltd., a corporation of Republic of Korea (“Acquirer”), Unicycle Acquisition Corp., a Delaware corporation and a wholly owned subsidiary of Acquirer (“Sub”), Unidym, Inc., a Delaware corporation (“Company”) and, solely with respect to Article 3 hereof, Arrowhead Research Corporation, a Delaware corporation (“Arrowhead”).
REGISTRATION RIGHTS AGREEMENT dated as of October 21, 2011 among ARROWHEAD RESEARCH CORPORATION and THE SHAREHOLDERS PARTY HERETORegistration Rights Agreement • December 20th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • Delaware
AGREEMENT dated as of October 21, 2011 (this “Agreement”) between Arrowhead Research Corporation, a Delaware corporation (the “Company”) and Roche Finance Ltd, a Swiss corporation (including each of its Permitted Transferees, collectively, the “Shareholders” and each individually, a “Shareholder”).
NON-EXCLUSIVE LICENSE AGREEMENTNon-Exclusive License Agreement • December 20th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • Delaware
This Non-Exclusive License Agreement (this “Agreement”), made and entered into as of October 21, 2011 (the “Effective Date”), is by and between, on the one hand, F. Hoffmann-La Roche Ltd, a corporation organized under the laws of Switzerland, with an office and place of business at Grenzacherstrasse 124, 4070 Basel, Switzerland (“Roche Basel”) and Hoffmann-La Roche Inc., a corporation organized under the laws of the State of New Jersey, with an office and place of business at 340 Kingsland Street, Nutley, New Jersey 07110, U.S.A. (“Roche Nutley”; Roche Basel and Roche Nutley together referred to as “Roche”), and, on the other hand, Arrowhead Research Corporation, a corporation organized under the laws of the State of Delaware, having a primary business address at 225 South Lake Avenue, 3rd Floor, Pasadena, California 91101(“Arrowhead”) (collectively, the “Parties”, or each separately, a “Party” ).
STOCK PURCHASE AGREEMENTStock Purchase Agreement • March 1st, 2005 • Arrowhead Research Corp • Services-commercial physical & biological research • Delaware
This Stock Purchase Agreement (the “Agreement”) is made as of the 22nd day of February 2005 by and among CALANDO PHARMACEUTICALS INC., a Delaware corporation (the “Company”), and ARROWHEAD RESEARCH CORPORATION (the “Purchaser”).
LICENSE AND ENFORCEMENT AGREEMENTLicense and Enforcement Agreement • February 10th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • New York
This LICENSE AND ENFORCEMENT AGREEMENT (this “Agreement”), dated as of December , 2010, is entered into by and between Unidym, Inc., a Delaware Corporation having a principal place of business at 1244 Reamwood Avenue, Sunnyvale, CA 94089, USA (“Unidym”), and Samsung Electronics Co., Ltd., a company organized under the laws of the Republic of Korea and having a principal place of business at 416 Maetan-dong, Yeongtong-gu, Suwon-si, Gyeonggi-do, 443-742, the Republic of Korea (“Samsung”). Unidym and Samsung may be referred to herein as a “Party” or, collectively, as the “Parties.”
ARROWHEAD PHARMACEUTICALS, INC. RESTRICTED STOCK UNIT AGREEMENT (EMPLOYEES)Restricted Stock Unit Agreement • December 22nd, 2021 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations
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”) granted by Arrowhead Pharmaceuticals, Inc. (the “Company”) to the individual named above (the “Grantee”). The Award has been granted as an “inducement” award under NASDAQ Marketplace Rules outside of the Company’s existing equity compensation plans. However, the Award will be governed in all respects as if issued under the Company’s 2021 Incentive Plan (the “Plan”), as currently in effect and as may be amended hereafter from time to time, the terms of which are incorporated herein by reference.
CNT PRODUCTION PATENT LICENSE AGREEMENTPatent License Agreement • February 10th, 2011 • Arrowhead Research Corp • Services-commercial physical & biological research • New York
This CNT PRODUCTION PATENT LICENSE AGREEMENT (this “Agreement”), dated as of December , 2010, is entered into by and between Unidym, Inc., a Delaware Corporation having a principal place of business at 1244 Reamwood Avenue, Sunnyvale, CA 94089, USA (“Unidym”), and Samsung Electronics Co., Ltd., a company organized under the laws of the Republic of Korea and having a principal place of business at 416 Maetan-dong, Yeongtong-gu, Suwon-si, Gyeonggi-do, 443-742, the Republic of Korea (“Samsung”). Unidym and Samsung may be referred to herein as a “Party” or, collectively, as the “Parties.”
STOCK PURCHASE AGREEMENTStock Purchase Agreement • February 7th, 2019 • Arrowhead Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
THIS STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of October 3, 2018, (the “Effective Date”) by and between Johnson & Johnson Innovation-JJDC, Inc. (the “Investor”), a New Jersey corporation with its principal place of business at 410 George Street, New Brunswick, New Jersey 08901, and Arrowhead Pharmaceuticals, Inc. (the “Company”), a Delaware corporation, with its principal place of business at 225 S. Lake Avenue, Suite 1050, Pasadena, California 91101.
