SEC Form 4 · accession 0001293577-17-000001
ARGOS THERAPEUTICS INC · ARGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard D Katz
Officer — VP & Chief Financial Officer
Period of report
Jan 19, 2017
Accepted (ET)
Jan 23, 2017 · 3:32 pm EST
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 | Jan 19, 2017 | A | 3,958 | $0.00 | A | 3,958 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $4.85 | Jan 19, 2017 | A | 105,000 | A | — | Jan 18, 2027 | Common Stock | 105,000 | 105,000 | D |
Explanation of responses
- F1This option was granted on January 19, 2017 and vests as to 25% of the shares underlying this option on January 1, 2018, with the remaining 75% of the shares underlying this option vesting in equal amounts monthly over the next three years beginning January 1, 2018.