0001209191-16-088039.txt : 20160104 0001209191-16-088039.hdr.sgml : 20160104 20160104191509 ACCESSION NUMBER: 0001209191-16-088039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151230 FILED AS OF DATE: 20160104 DATE AS OF CHANGE: 20160104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARROWHEAD RESEARCH CORP CENTRAL INDEX KEY: 0000879407 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 460408024 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 1050 CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: 626-304-3400 MAIL ADDRESS: STREET 1: 225 SOUTH LAKE AVENUE STREET 2: SUITE 1050 CITY: PASADENA STATE: CA ZIP: 91101 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE GROUP INC DATE OF NAME CHANGE: 20020509 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE INC DATE OF NAME CHANGE: 19940224 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anzalone Christopher Richard CENTRAL INDEX KEY: 0001423029 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21898 FILM NUMBER: 161319792 MAIL ADDRESS: STREET 1: ARROWHEAD RESEARCH CORPORATION STREET 2: 201 SOUTH LAKE AVENUE, SUITE 703 CITY: PASADENA STATE: CA ZIP: 91101 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-12-30 0 0000879407 ARROWHEAD RESEARCH CORP ARWR 0001423029 Anzalone Christopher Richard 225 S. LAKE AVENUE SUITE 1050 PASADENA CA 91101 1 1 0 0 Chief Executive Officer Common Stock 2015-12-30 4 F 0 58712 6.13 D 561461 D Common Stock 2016-01-01 4 A 0 540000 0.00 A 1101461 D Stock Options 6.15 2016-01-01 4 A 0 80000 0.00 A 2026-01-01 Common Stock 80000 1166466 D Represents the maximum number of shares underlying a restricted stock unit that may be earned based on the achievement of certain predetermined performance goals related to the advancement of the Company's clinical programs and business development over three years. If the performance goals are not met within the required time periods, the award will be forfeited in part or in whole. Option vests and becomes exercisable over a four year period from date of grant. /s/ Christopher Anzalone 2016-01-04