SEC Form 4 · accession 0000899243-16-016128

ARGOS THERAPEUTICS INC · ARGS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Mar 14, 2016

Accepted (ET)

Mar 16, 2016 · 4:36 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001105533

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Mar 14, 2016	P$0	183,697	—	A	1,654,788	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock Warrants (right to buy)^F1,F2	$5.35	Mar 14, 2016	P	137,773	A	Mar 14, 2016	Mar 14, 2021	Common Stock	137,773	137,773	I

F1The reported securities are included within Units purchased by the Reporting Person for $5.44375 per Unit. Each Unit consists of one share of common stock and one warrant to purchase 0.75 shares of common stock.
F2The reported securities are directly held by TVM V Life Science Ventures GmbH & Co. KG ("TVM V"), the managing limited partner of which is TVM V Life Science Ventures Management GmbH & Co. KG ("TVM V Management"), for which the Reporting Person, Stefan Fischer ("Fischer"), Alexandra Goll ("Goll") and Axel Polack ("Polack"), each a member of the investment committee of TVM V Management, share voting and investment authority over the securities held by TVM V. Each of TVM V Management, the Reporting Person, Fischer, Goll and Polack disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, if any.