SEC Form 4 · accession 0000899243-16-026291
ARGOS THERAPEUTICS INC · ARGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Joint Stock Co Pharmstandard Public
10% Owner
Pharmstandard International S.A.
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,F2 | Aug 2, 2016 | P$0 | 2,363,636 | — | A | 12,811,020 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1,F2 | $5.50 | Aug 2, 2016 | P | 1,772,727 | A | Aug 2, 2016 | Aug 2, 2021 | Common Stock | 1,772,727 | 1,772,727 | I |
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.
- F2Pharmstandard International S.A. is a wholly owned subsidiary of Public Joint Stock Company Pharmstandard. As the parent entity, Public Joint Stock Company Pharmstandard has voting power over the shares of the Issuer held by Pharmstandard International S.A.