SEC Form 4 · accession 0000899243-16-024115
ARGOS THERAPEUTICS INC · ARGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hubert Birner
Director
Period of report
Jun 29, 2016
Accepted (ET)
Jul 1, 2016 · 5:06 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 StockF1,F2 | Jun 29, 2016 | P$0 | 275,545 | — | A | 1,930,333 | I | See footnote |
Table II — derivative securities
| 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 | Jun 29, 2016 | P | 206,659 | A | Jun 29, 2016 | Jun 29, 2021 | Common Stock | 206,659 | 206,659 | I |
Explanation of responses
- 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.