SEC Form 4 · accession 0000899243-16-016130

ARGOS THERAPEUTICS INC · ARGS

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

Reporting owner

Director · 10% Owner

Period of report

Mar 14, 2016

Accepted (ET)

Mar 16, 2016 · 4:37 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,F3	Mar 14, 2016	P$0	881,745	—	A	3,331,889	I	See Footnotes

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,F3	$5.35	Mar 14, 2016	P	661,309	A	Mar 14, 2016	Mar 14, 2021	Common Stock	661,309	661,309	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.
F2Represents reported securities held of record by ForArgos B.V.
F3Forbion 1 Management B.V., the director of ForArgos, B.V., has voting and investment power over the reported securities held by ForArgos B.V., which are exercised through Forbion 1 Management B.V.'s investment committee, consisting of H. A. Slootweg, M. A. van Osch, G. J. Mulder and the Reporting Person. None of the members of the investment committee have individual voting and investment power with respect to such securities, and the members disclaim beneficial ownership of such securities except to the extent of their proportionate pecuniary interests therein.