SEC Form 4 · accession 0000904454-16-001129
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
Mar 14, 2016
Accepted (ET)
Mar 16, 2016 · 5:24 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 | Mar 14, 2016 | P$0 | 1,785,534 | — | A | 7,769,083 | 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 | $5.35 | Mar 14, 2016 | P | 1,339,151 | A | Mar 14, 2016 | Mar 14, 2021 | Common Stock | 1,339,151 | 1,339,151 | I |
Explanation of responses
- F1The reported securities are included within Units purchased by the Reporting Persons 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.
- 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.