SEC Form 4 · accession 0000899243-16-026292

ARGOS THERAPEUTICS INC · ARGS

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

Reporting owner

Sander van Deventer

Director · 10% Owner

Period of report

Aug 2, 2016

Accepted (ET)

Aug 4, 2016 · 3:31 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,F4,F5}	Aug 2, 2016	P$0	1,545,454	—	A	6,199,961	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,F2,F4,F5	$5.50	Aug 2, 2016	P	1,159,090	A	Aug 2, 2016	Aug 2, 2021	Common Stock	1,159,090	1,159,090	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.
F2The reported securities purchased by the Reporting Person are held of record by ForArgos B.V.
F3Consists of (i) 3,749,817 shares held by ForArgos, B.V., (ii) 1,254,388 shares held by Cooperatieve AAC LS U.A. and (iii) 1,195,756 shares held by Forbion Co-Investment II Cooperatief U.A.
F4Forbion 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 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. 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 the Reporting Person.
F5(continued from footnote 4) 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.