SEC Form 4 · accession 0000904454-17-000465
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
Jun 21, 2017
Accepted (ET)
Jun 23, 2017 · 8:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001105533
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Secured Promissory NoteF1,F2 | $0.50 | Jun 21, 2017 | P | — | A | Jun 21, 2017 | Jun 21, 2022 | Common Stock | 12,000,000 | — | I |
Explanation of responses
- F1This Convertible Secured Promissory Note (the "Note") was issued by the Issuer in principal amount of $6,000,000 for a purchase price of $6,000,000, and bears interest at a rate of 9.5% per annum. The Reporting Person may at any time and from time to time convert all outstanding principal and any accrued but unpaid interest under the Note into shares of the Issuer's common stock at a price per share equal to $0.50, subject to adjustment as provided in the Note.
- F2Pharmstandard International S.A. is a wholly owned subsidiary of Pharmstandard JSC. As the parent entity, Pharmstandard JSC has voting power over the shares of the Issuer held by Pharmstandard International S.A.