SEC Form 4 · accession 0000899243-16-026290
ARGOS THERAPEUTICS INC · ARGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
ForArgos B.V.
10% Owner
Period of report
Aug 2, 2016
Accepted (ET)
Aug 4, 2016 · 3:30 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 | Aug 2, 2016 | P$0 | 1,545,454 | — | A | 3,749,817 | D | |
| Common StockF2,F3,F4 | holding | — | — | — | 2,450,144 | I | See Footnotes |
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 | $5.50 | Aug 2, 2016 | P | 1,159,090 | A | Aug 2, 2016 | Aug 2, 2021 | Common Stock | 1,159,090 | 1,159,090 | D |
Explanation of responses
- F1The reported securities were purchased by the Reporting Person for $5.50 per share of common stock and accompanying warrant. The shares of common stock and warrants were purchased in combination, with one warrant to purchase up to 0.75 of a share of common stock accompanying each share of common stock.
- F2Consists of (i) 1,254,388 shares held by Cooperatieve AAC LS U.A. and (ii) 1,195,756 shares held by Forbion Co-Investment II Cooperatief U.A.
- F3Forbion 1 Management B.V., the director of Cooperatieve AAC LS U.A and ForArgos, B.V., has voting and investment power over the reported securities held by Cooperatieve AAC LS U.A. and 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 Sander van Deventer. 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. Forbion 1 Co-II Management B.V., the director of Forbion Co-Investment II Cooperatief U.A., has voting and investment power over the shares held by Forbion Co-Investment II Cooperatief U.A., which are exercised through Forbion 1 Co II Management B.V.'s investment committee, consisting of H. A. Slootweg, M. A. van Osch, G. J. Mulder and Sander van Deventer.
- F4(Continued from Footnote 3) None of the members of the investment committee has individual voting and investment power with respect to such shares, and the members disclaim beneficial ownership of such shares except to the extent of their pecuniary interests therein.