SEC Form 4 · accession 0000904454-16-001492
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
Oct 4, 2016
Accepted (ET)
Oct 13, 2016 · 4:48 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 | Oct 4, 2016 | P | 7,164 | $4.69 | A | 13,217,739 | I | See footnote |
| Common StockF2 | Oct 5, 2016 | P | 900 | $4.85 | A | 13,218,639 | I | See footnote |
| Common StockF3,F2 | Oct 6, 2016 | P | 2,640 | $4.81 | A | 13,221,279 | I | See footnote |
| Common StockF4,F2 | Oct 7, 2016 | P | 21,000 | $4.73 | A | 13,242,279 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.68 to $4.72, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.
- 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.
- F3The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.80 to $4.81, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.
- F4The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.71 to $4.75, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.