Document:

EX-4.4

 Exhibit 4.4 

WANDL, INC. 
 2013
RESTRICTED STOCK UNIT PLAN 
 1. Purposes of the Plan. The purposes of this Plan are to attract and retain the best available
personnel for positions of substantial responsibility, to provide additional incentive to Service Providers and to promote the success of the Company’s business. The Plan permits the grant of Restricted Stock Units. 

2. Definitions. As used herein, the following definitions will apply: 

(a) “Administrator” means the Board or any of its Committees as will be administering the Plan, in accordance with
Section 4 of the Plan. 
 (b) “Applicable Laws” means the requirements relating to the administration of equity-based
awards under U.S. state corporate laws, U.S. federal and state securities laws, the Code, any stock exchange or quotation system on which the Common Stock is listed or quoted and the applicable laws of any foreign country or jurisdiction where
Awards are, or will be, granted under the Plan. 
 (c) “Award” means, individually or collectively, a grant under the Plan
of Restricted Stock Units. 
 (d) “Award Agreement” means the written or electronic agreement setting forth the terms and
provisions applicable to each Award granted under the Plan. The Award Agreement is subject to the terms and conditions of the Plan. 
 (e)
“Board” means the Board of Directors of the Company. 
 (f) “Code” means the Internal Revenue Code of
1986, as amended. 
 (g) “Committee” means a committee of Directors or of other individuals satisfying Applicable Laws
appointed by the Board, or a duly authorized committee of the Board, in accordance with Section 4 hereof. 
 (h) “Common
Stock” means the common stock of the Company. 
 (i) “Company” means Wandl, Inc. a New Jersey corporation, or any
successor thereto. 
 (j) “Consultant” means any consultant, independent contractor or other person who provides
significant services to the Company or a Parent or Subsidiary, but who is neither an Employee or Director. 
 (k)
“Director” shall mean a member of the Board. 

 (l) “Dividend Equivalent” shall mean a credit, payable in cash, made at the
discretion of the Administrator, to the account of a Participant in an amount equal to the cash dividends paid on one Share for each Share represented by an Award held by such Participant. Dividend Equivalents may be subject to the same vesting
restrictions as the related Shares subject to an Award, at the discretion of the Administrator. 
 (m) “Employee” means any
person, including Officers and Directors, employed by the Company or any Parent or Subsidiary of the Company. Neither service as a Director nor payment of a director’s fee by the Company will be sufficient to constitute “employment”
by the Company. 
 (n) “Exchange Act” means the Securities Exchange Act of 1934, as amended. 

(o) “Exchange Program” means a program under which (i) outstanding Awards are surrendered or cancelled in exchange for
awards of the same type (which may have different terms), awards of a different type, and/or cash, and/or (ii) Participants would have the opportunity to transfer any outstanding Awards to a financial institution or other person or entity
selected by the Administrator. The Administrator will determine the terms and conditions of any Exchange Program in its sole discretion. 

(p) “Fair Market Value” means, as of any date, the value of Common Stock determined as follows: 

(i) If the Common Stock is listed on any established stock exchange, its Fair Market Value will be the closing sales price for such
stock as quoted on such exchange or system on the day of determination, as reported in The Wall Street Journal or such other source as the Administrator deems reliable, or if the date of determination is not a trading day, the immediately
preceding trading date; 
 (ii) If the Common Stock is regularly quoted by a recognized securities dealer but selling prices are not
reported, the Fair Market Value of a Share will be the mean between the high bid and low asked prices for the Common Stock on the day of determination (or, if no bids and asks were reported on that date, as applicable, on the last trading date such
bids and asks were reported), as reported in The Wall Street Journal or such other source as the Administrator deems reliable; or 
 (iii)
In the absence of an established market for the Common Stock, the Fair Market Value will be determined in good faith by the Administrator. 

(q) “Officer” shall mean a person who is an officer of the Company within the meaning of Section 16 of the Exchange Act.

 (r) “Parent” means a “parent corporation,” whether now or hereafter existing, as defined in
Section 424(e) of the Code. 
 (s) “Participant” means the holder of an outstanding Award. 

(t) “Plan” means this Restricted Stock Unit Plan. 

  
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 (u) “Restricted Stock Unit” means a bookkeeping entry representing an amount
equal to the Fair Market Value of one Share, granted pursuant to Section 6. Each Restricted Stock Unit represents an unfunded and unsecured obligation of the Company. 

(v) “Service Provider” means an Employee or Consultant. 

(w) “Share” means a share of the Common Stock, as adjusted in accordance with Section 10 of the Plan. 

(x) “Subsidiary” means a “subsidiary corporation,” whether now or hereafter existing, as defined in
Section 424(f) of the Code. 
 3. Stock Subject to the Plan. 

(a) Stock Subject to the Plan. Subject to the provisions of Section 10 of the Plan, the maximum aggregate number of Shares that
may be issued under the Plan is Fifteen Million (15,000,000) Shares. 
 (b) Share Reserve. The Company, during the term of this
Plan, will at all times reserve and keep available such number of Shares as will be sufficient to satisfy the requirements of the Plan. 

4. Administration of the Plan. 

(a) Procedure. 
 (i)
Multiple Administrative Bodies. The Plan shall be administered by the Board or any Committee appointed by the Board which will be constituted to satisfy Applicable Laws. In the Board’s sole discretion, different Committees with respect
to different groups of Service Providers may administer the Plan. 
 (ii) Section 162(m). To the extent that the Administrator
determines it to be desirable to qualify Awards granted hereunder as “performance-based compensation” within the meaning of Section 162(m) of the Code, the Plan will be administered by a Committee of two (2) or more
“outside directors” within the meaning of Section 162(m) of the Code. 
 (iii) Rule 16b-3. To the extent
desirable to qualify transactions hereunder as exempt under Rule 16b-3, the transactions contemplated hereunder will be structured to satisfy the requirements for exemption under Rule 16b-3. 

(b) Powers of the Administrator. Subject to the provisions of the Plan, and in the case of a Committee, subject to the specific duties
delegated by the Board to such Committee, the Administrator will have the authority, in good faith and consistent with the terms of the Plan, in its discretion: 

(i) to determine the Fair Market Value; 

  
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 (ii) to select the Service Providers to whom Awards may be granted hereunder; 

(iii) to determine the number of Shares to be covered by each Award granted hereunder; 

(iv) to approve forms of Award Agreements for use under the Plan; 

(v) to determine the terms and conditions, not inconsistent with the terms of the Plan, of any Award granted hereunder. Such terms and
conditions include, but are not limited to, any vesting acceleration or waiver of forfeiture restrictions, and any restriction or limitation regarding any Award or the Shares relating thereto, based in each case on such factors as the Administrator
will determine; 
 (vi) to institute and determine the terms and conditions of an Exchange Program; 

(vii) to construe and interpret the terms of the Plan and Awards granted pursuant to the Plan; 

(viii) to prescribe, amend and rescind rules and regulations relating to the Plan; 

(ix) to modify or amend each Award (subject to Section 14 of the Plan); 

(x) to allow Participants to satisfy withholding tax obligations in such manner as prescribed in Section 11 of the Plan; 

(xi) to authorize any person to execute on behalf of the Company any instrument required to effect the grant of an Award previously granted
by the Administrator; 
 (xii) to allow a Participant to defer the receipt of the payment of cash or the delivery of Shares that would
otherwise be due to such Participant under an Award; 
 (xiii) to determine whether Awards will be adjusted for Dividend Equivalents and
whether such Dividend Equivalents will be subject to vesting: and 
 (xiv) to make all other determinations deemed necessary or advisable
for administering the Plan. 
 (c) Effect of Administrator’s Decision. The Administrator’s decisions, determinations
and interpretations will be final and binding on all Participants and any other holders of Awards. The Administrator’s determinations need not be uniform. 

5. Eligibility. Restricted Stock Units may be granted to Service Providers. 

  
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 6. Restricted Stock Units. 

(a) Grant. Restricted Stock Units may be granted at any time and from time to time as determined by the Administrator. After the
Administrator determines that it will grant Restricted Stock Units under the Plan, it will advise the Participant in an Award Agreement of the terms, conditions, and restrictions related to the grant, including the number of Restricted Stock Units
and the form of payout. 
 (b) Vesting Criteria and Other Terms. The Administrator will set vesting criteria in its discretion,
which, depending on the extent to which the criteria are met, will determine the number of Restricted Stock Units that will be paid out to the Participant. The Administrator may set vesting criteria based upon the achievement of Company-wide,
divisional, business unit, or individual goals (including, but not limited to, continued employment or service), applicable federal or state securities laws or any other basis determined by the Administrator in its discretion. 

(c) Vesting of Restricted Stock Units. Upon meeting the applicable vesting criteria, the Participant’s Restricted Stock Units will
vest pursuant to the vesting schedule set forth in the Participant’s Award Agreement. Notwithstanding anything to the contrary in the Plan or the Participant’s Award Agreement, on any given vesting date, the number of the
Participant’s Restricted Stock Units which have cumulatively vested may only be a whole number, and if the number of the Participant’s Restricted Stock Units which would otherwise have cumulatively vested on such vesting date contains a
fraction of a Restricted Stock Unit, the number of the Participant’s Restricted Stock Units which have cumulatively vested on such vesting date will be rounded down to a whole number. Notwithstanding the foregoing, at any time after the grant
of Restricted Stock Units, the Administrator, in its sole discretion, may reduce or waive any vesting criteria that must be met to receive a payout. 

(d) Form and Timing of Payment. Payment of vested Restricted Stock Units will be made in accordance with the terms and conditions
determined by the Administrator and set forth in the Award Agreement. The Administrator, in its sole discretion, may only settle vested Restricted Stock Units in cash, Shares, or a combination of both. 

(e) Cancellation. On the date set forth in the Award Agreement, all unvested Restricted Stock Units will be forfeited to the Company.

 7. Leaves of Absence/Transfer Between Locations. Unless the Administrator provides otherwise, vesting of Awards granted hereunder
will be suspended during any unpaid leave of absence. A Participant will not cease to be an Employee in the case of (i) any leave of absence approved by the Company or (ii) transfers between locations of the Company or between the Company,
its Parent, or any Subsidiary. 
 8. Transferability of Awards. Unless determined otherwise by the Administrator, an Award may not be
sold, pledged, assigned, hypothecated, transferred, or disposed of in any manner other than by will or by the laws of descent or distribution and may be exercised, during the lifetime of the Participant, only by the Participant. If the Administrator
makes an Award transferable, such Award will contain such additional terms and conditions as the Administrator deems appropriate. 

  
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 9. Adjustments; Dissolution or Liquidation; Merger or Change in Control. 

(a) Adjustments. In the event that any dividend or other distribution (whether in the form of cash, Shares, other securities, or other
property), recapitalization, stock split, reverse stock split, reorganization, merger, consolidation, split-up, spin-off, combination, repurchase, or exchange of Shares or other securities of the Company, or other change in the corporate structure
of the Company affecting the Shares occurs, the Administrator, in order to prevent diminution or enlargement of the benefits or potential benefits intended to be made available under the Plan, will adjust the number and class of Shares that may be
delivered under the Plan and/or the number and class of Shares covered by each outstanding Award, and the numerical Share limits in Section 3 of the Plan. 

(b) Dissolution or Liquidation. In the event of the proposed dissolution or liquidation of the Company, the Administrator will notify
each Participant as soon as practicable prior to the effective date of such proposed transaction. To the extent it has not previously vested, an Award will terminate immediately prior to the consummation of such proposed action. 

(c) Merger or Asset Sale. In the event of a merger of the Company with or into another corporation, or the sale of substantially all of
the assets of the Company, each outstanding Award will be assumed or an equivalent award substituted by the successor corporation or a Parent or Subsidiary of the successor corporation. In the event that the successor corporation does not assume or
substitute for the Award (or portion thereof), the Participant shall fully vest in the Award (and any related Dividend Equivalent), including as to Shares (or with respect to Dividend Equivalents, the cash value thereof), which would not otherwise
be vested. For the purposes of this subsection (c), an Award will be considered assumed if, following the merger or asset sale, the Award is replaced by or converted into a comparable restricted stock unit with respect to the common stock of the
successor corporation or a Parent or Subsidiary. Notwithstanding the foregoing, in the event of a merger of the Company with or into another corporation, or the sale of substantially all of the assets of the Company the Administrator may, in its
sole discretion (i) elect to accelerate, in whole or in part, the vesting of any Award, or (ii) elect to make cash payments payable as a result of the acceleration of vesting of any Award. 

10. Tax. 
 (a)
Withholding Requirements. Prior to the delivery of any Shares or cash pursuant to an Award or such earlier time as any tax withholding obligations are due, the Company will have the power and the right to deduct or withhold, or require a
Participant to remit to the Company, an amount sufficient to satisfy federal, state, local, foreign or other taxes (including the Participant’s FICA obligation) required to be withheld with respect to such Award. 

(b) Withholding Arrangements. The Administrator, in its sole discretion and pursuant to such procedures as it may specify from time to
time, may permit a Participant to satisfy such tax withholding obligation, in whole or in part by (without limitation) (a) paying cash, (b) electing to have the Company withhold otherwise deliverable cash or Shares having a Fair
Market Value equal to the minimum statutory amount required to be withheld, or (c) delivering to the Company already-owned Shares having a Fair Market Value equal to the minimum statutory amount required to be withheld. The Fair Market Value of
the Shares to be withheld or delivered will be determined as of the date that the taxes are required to be withheld. 

  
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 (c) Compliance With Code Section 409A. Awards will be designed and operated in such a
manner that they are either exempt from the application of, or comply with, the requirements of Code Section 409A such that the grant, payment, settlement or deferral will not be subject to the additional tax or interest applicable under Code
Section 409A, except as otherwise determined in the sole discretion of the Administrator. The Plan and each Award Agreement under the Plan is intended to meet the requirements of Code Section 409A and will be construed and interpreted
in accordance with such intent, except as otherwise determined in the sole discretion of the Administrator. To the extent that an Award or payment, or the settlement or deferral thereof, is subject to Code Section 409A the Award will be
granted, paid, settled or deferred in a manner that will meet the requirements of Code Section 409A, such that the grant, payment, settlement or deferral will not be subject to the additional tax or interest applicable under Code
Section 409A. 
 11. No Effect on Employment or Service. Neither the Plan nor any Award will confer upon a Participant any right
with respect to continuing the Participant’s relationship as a Service Provider with the Company, nor will they interfere in any way with the Participant’s right or the Company’s right to terminate such relationship at any time, with
or without cause, to the extent permitted by Applicable Laws. 
 12. Date of Grant. The date of grant of an Award will be, for all
purposes, the date on which the Administrator makes the determination granting such Award, or such other later date as is determined by the Administrator. Notice of the determination will be provided to each Participant within a reasonable time
after the date of such grant. 
 13. Term of Plan. Subject to Section 17 of the Plan, the Plan will become effective upon its
adoption by the Board. It will continue in effect for a term of five (5) years from the date adopted by the Board, unless terminated earlier under Section 14 of the Plan. 

14. Amendment and Termination of the Plan. 

(a) Amendment and Termination. The Administrator may at any time amend, alter, suspend or terminate the Plan. 

(b) Stockholder Approval. The Company will obtain stockholder approval of any Plan amendment to the extent necessary and desirable to
comply with Applicable Laws. 
 (c) Effect of Amendment or Termination. No amendment, alteration, suspension or termination of the
Plan will impair the rights of any Participant, unless mutually agreed otherwise between the Participant and the Administrator, which agreement must be in writing and signed by the Participant and the Company. Termination of the Plan will not affect
the Administrator’s ability to exercise the powers granted to it hereunder with respect to Awards granted under the Plan prior to the date of such termination. 

  
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 15. Conditions Upon Issuance of Shares. Shares will not be issued pursuant to an Award
unless the issuance and delivery of such Shares will comply with Applicable Laws and will be further subject to the approval of counsel for the Company with respect to such compliance. 

16. Inability to Obtain Authority. The inability of the Company to obtain authority from any regulatory body having jurisdiction or to
complete or comply with the requirements of any registration or other qualification of the Shares under any state, federal or foreign law or under the rules and regulations of the Securities and Exchange Commission, the stock exchange on which
Shares of the same class are then listed, or any other governmental or regulatory body, which authority, registration, qualification or rule compliance is deemed by the Company’s counsel to be necessary or advisable for the issuance of any
Shares hereunder, will relieve the Company of any liability in respect of the failure to issue such Shares as to which such requisite authority, registration, qualification or rule compliance will not have been obtained. 

17. Stockholder Approval. The Plan will be subject to approval by the stockholders of the Company within twelve (12) months after
the date the Plan is adopted by the Board. Such stockholder approval will be obtained in the manner and to the degree required under Applicable Laws. 

  
 8EX-10.1

 Exhibit 10.1 

ARROWHEAD RESEARCH CORPORATION 

2013 INCENTIVE PLAN 

STOCK OPTION AWARD AGREEMENT 

Unless otherwise defined herein, the terms defined in the Arrowhead Research Corporation 2013 Incentive Plan (as amended from time to time,
the “Plan”) shall have the same defined meanings in this Stock Option Award Agreement (this “Agreement”). 

AGREEMENT 
  

	 	A.	Grant of Option. 

 (i) The Optionee (the “Optionee”) named in the Notice of
Grant attached as Part I of this Agreement (the “Notice of Grant”) is granted an option (this “Option”), on the Date of Grant set forth in the Notice of Grant (the “Date of Grant”), to purchase the Number of Shares set
forth in the Notice of Grant (the “Number of Shares”, which amount is subject to adjustment pursuant to Section 7 of the Plan in respect of transactions occurring after the ), at the Exercise Price per share set forth in the Notice of
Grant (the “Exercise Price”), subject to the terms and conditions of the 2013 Incentive Plan, which is incorporated herein by reference. In the event of a conflict between the terms and conditions of the Plan and the terms and conditions
of this Agreement, the terms and conditions of the Plan shall prevail. 
 (ii) If designated in the Notice of Grant as an Incentive Stock
Option (“ISO”), this Option is intended to qualify as an ISO under Section 422(b) of the Code. However, if this Option is intended to be an ISO, to the extent that it exceeds the $100,000 rule of Code Section 422(d) it shall be
treated as a Non-statutory Stock Option (“NSO”). 
  

	 	B.	Exercise of Option. 

 (i) Right to Exercise. This Option is exercisable during
its term in accordance with the Vesting Schedule set out in the Notice of Grant (the “Vesting Schedule”) and the applicable provisions of the Plan and this Agreement. 

(ii) Exercise Period. In no event shall this Option be exercised later than the Expiration Date set forth in the Notice of Grant (the
“Expiration Date”). Specifically, any vested portion of this Option may be exercised after a termination of Employment, but not later than the Expiration Date. 

(iii) Method of Exercise. This Option is exercisable by delivery of an exercise notice, in the form attached as Exhibit A (the
“Exercise Notice”), which shall state the election to exercise the Option, the number of shares of Stock in respect of which this Option is being exercised (the “Exercised Shares”), and such other representations and agreements
as may be required by the Company pursuant to the provisions of the Plan. The Exercise Notice shall be completed by the Optionee and delivered to the Secretary or Chief Financial Officer of the Company. The Exercise Notice shall be accompanied by
payment of the aggregate Exercise Price as to all Exercised Shares. The portion of this Option representing the Exercised Shares shall be deemed to be exercised upon receipt by the Company of such fully executed Exercise Notice accompanied by such
aggregate Exercise Price and satisfaction by the Optionee of any required tax withholding. 
 (iv) Compliance with Applicable Laws.
No Stock shall be issued pursuant to the exercise of this Option unless such issuance and exercise complies with applicable laws. If at the time of exercise, the Optionee is prohibited by applicable law or written Company policy applicable to the
Optionee and similarly situated employees from engaging in any open-market sales of Stock, the Expiration Date will automatically be extended to thirty (30) days following the date the Optionee is no longer prohibited from engaging in such
open-market sales. 
  

	 	C.	Method of Payment. 

 Payment of the aggregate Exercise Price shall be by any of the
following, or a combination thereof, at the election of the Optionee: 
 (i) Cash; or 

  
 2013 Incentive Plan 

 (ii) Check; or 

(iii) Consideration received by the Company under a cashless exercise program implemented by the Company in connection with the
Plan; or 
 (iv) Surrender of other shares of Stock which (x) in the case of shares of Stock acquired upon exercise of
an option, have been owned by the Optionee for more than six (6) months on the date of surrender, and (y) have a fair market value on the date of surrender equal to the aggregate Exercise Price of the Exercised Shares. 

 

	 	D.	Non-Transferability of Option. 

 This Option may not be transferred except at death in
accordance with Section 6(a)(3) of the Plan and may be exercised during the lifetime of the Optionee only by the Optionee. The terms of the Plan and this Agreement shall be binding upon the executors, administrators, heirs, and beneficiaries of
the Optionee. 
  

	 	E.	Term of Option. 

 This Option may be exercised only within the term set out in the
Notice of Grant, and may be exercised during such term only in accordance with the Plan and the terms of this Agreement. Any portion of this Option that remains outstanding and that has not been exercised by the Expiration Date will thereupon
immediately terminate, except as otherwise expressly provided for in Section B.iv. above. Upon any termination of Employment prior to the Expiration Date, the provisions of Section 6(a)(4)(A)-(E) shall apply. 

 

	 	F.	Certain Tax Matters. 

 The Optionee expressly acknowledges and agrees that the
Optionee’s rights hereunder, including the right to be issued shares of Stock (or any portion thereof) upon exercise, are subject to the Optionee’s promptly paying, or in respect of any later requirement of withholding being liable
promptly to pay at such time as such withholdings are due, to the Company in cash (or by such other means as may be acceptable to the Administrator in its discretion) all taxes required to be withheld, if any. No shares of Stock will be transferred
pursuant to the exercise of this Option unless and until the person exercising this Option has remitted to the Company an amount in cash sufficient to satisfy any federal, state, or local requirements with respect to tax withholdings then due and
has committed (and by exercising this Option the Optionee shall be deemed to have committed) to pay in cash all tax withholdings required at any later time in respect of the transfer of such Exercised Shares, or has made other arrangements
satisfactory to the Administrator with respect to such taxes. The Optionee also authorizes the Company and its subsidiaries to withhold such amounts from any amounts otherwise owed to the Optionee, but nothing in this sentence shall be construed as
relieving the Optionee of any liability for satisfying his or her obligations under the preceding provisions of this Section. 
  

	 	G.	Forfeiture; Recovery of Compensation. 

 By accepting this Option the Optionee expressly
acknowledges and agrees that his or her rights (and those of any permitted transferee) under this Option or to any Stock acquired under this Option or any proceeds from the disposition thereof, are subject to Section 6(a)(5) of the Plan
(including any successor provision). 
  

	 	H.	Entire Agreement. 

 The Plan, this Agreement, and the Notice of Grant constitute the
entire agreement of the parties with respect to the subject matter hereof and supersede in their entirety all prior undertakings and agreements of the Company and the Optionee with respect to the subject matter hereof, and may not be modified
adversely to the Optionee interest except by means of a writing signed by the Company and the Optionee. 
  

	 	I.	NO GUARANTEE OF CONTINUED SERVICE. 

 THE OPTIONEE ACKNOWLEDGES AND AGREES THAT THE
VESTING OF SHARES PURSUANT TO THE VESTING SCHEDULE IS EARNED ONLY BY CONTINUING EMPLOYMENT AT THE WILL OF THE COMPANY (AND NOT THROUGH THE ACT OF BEING HIRED, BEING GRANTED 

  
 2013 Incentive Plan 

 
AN OPTION OR PURCHASING STOCK HEREUNDER). THE OPTIONEE FURTHER ACKNOWLEDGES AND AGREES THAT THIS AGREEMENT, THE TRANSACTIONS CONTEMPLATED HEREUNDER AND THE VESTING SCHEDULE DO NOT CONSTITUTE AN
EXPRESS OR IMPLIED PROMISE OF CONTINUED EMPLOYMENT FOR THE VESTING PERIOD, FOR ANY PERIOD, OR AT ALL, AND SHALL NOT INTERFERE WITH THE OPTIONEE’S RIGHT OR THE COMPANY’S RIGHT TO TERMINATE THE OPTIONEE’S EMPLOYMENT AT ANY TIME, WITH OR
WITHOUT CAUSE. 
 The Optionee has reviewed the Plan, this Agreement, and the Notice of Grant in their entirety, has had an opportunity to obtain the advice
of counsel prior to executing this Agreement and fully understands all provisions of the Plan, this Agreement and the Notice of Grant. By accepting this Option, the Optionee agrees to be bound by, and agrees that the Option is subject in all
respects to, the terms of the Plan. The Optionee hereby agrees to accept as binding, conclusive and final all decisions or interpretations of the Committee upon any questions relating to the Plan, this Agreement, and the Notice of Grant. The
Optionee further agrees to notify the Company upon any change in the residence address indicated on this Agreement. 
  

					
	OPTIONEE	 		  	ARROWHEAD RESEARCH CORPORATION
			
	  
	 		  	  

			
	Signature	 		  	By
			
		 		  	Title
			
	Address:	 		  	Address:
			
		 		  	 225 S. Lake Avenue
 Suite 1050

Pasadena, CA 91101

  
 2013 Incentive Plan 

 EXHIBIT A 

ARROWHEAD RESEARCH CORPORATION 

2013 INCENTIVE PLAN 
 EXERCISE
NOTICE 
 Arrowhead Research Corporation 
 225 South Lake
Avenue, Suite 1050 
 Pasadena, California 91101 
 Attention:
Secretary or CFO 
 1. Exercise of Option. Effective as of today,
            ,             the undersigned (“Purchaser”) hereby elects to purchase
            shares (the “Shares”) of the Common Stock of Arrowhead Research Corporation (the “Company”) under and pursuant to the Company’s 2013 Incentive Plan (the
“Plan”) and the Stock Option Award Agreement, including the Notice of Grant attached thereto as Part I dated             ,
            (together, the “Option Agreement”). The purchase price for the Shares shall be $            , as required
by the Option Agreement. 
 2. Delivery of Payment. Purchaser herewith delivers to the Company the full purchase price for the
Shares. 
 3. Representations of Purchaser. Purchaser acknowledges that Purchaser has received, read and understood the Plan and the
Option Agreement and agrees to abide by and be bound by their terms and conditions. 
 4. Rights as Shareholder. Until the issuance
(as evidenced by the appropriate entry on the books of the Company or of a duly authorized transfer agent of the Company) of the Shares, no right to vote or receive dividends or any other rights as a shareholder shall exist with respect to the
optioned Stock, notwithstanding the exercise of the Option. The Shares so acquired shall be issued to the Optionee as soon as practicable after exercise of the Option. 

5. Tax Consultation. Purchaser understands that Purchaser may suffer adverse tax consequences as a result of Purchaser’s purchase
or disposition of the Shares. Purchaser represents that Purchaser has consulted with any tax consultants Purchaser deems advisable in connection with the purchase or disposition of the Shares and that Purchaser is not relying on the Company for any
tax advice. 
  

					
	Submitted by:	 		  	Accepted by:
			
	PURCHASER	 		  	ARROWHEAD RESEARCH CORPORATION
			
	  
	 		  	  

			
	Signature	 		  	By
			
	  
	 		  	  

			
	Print Name	 		  	Title
			
	  
	 		  	  

			
	Date Received	 		  	Date Received
			
	Address:	 		  	Address:
			
	  
	 		  	225 South Lake Avenue, Suite 1050
	  
	 		  	Pasadena, California 91101

  
 2013 Incentive Plan

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