SEC Form 4/A · accession 0001543053-18-000003
ARGOS THERAPEUTICS INC · ARGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Lori R. Harrelson
Officer — Vice President of Finance
Period of report
Jan 10, 2018
Accepted (ET)
Jan 12, 2018 · 3:13 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 StockF3,F2 | Jan 10, 2018 | S | 64,329 | $0.1647 | D | 230,981 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to a restricted stock award agreement dated August 30, 2017. Acquisition of the restricted stock was previously reported in Table I of the reporting person's Form 4 on August 31, 2017.
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.1621 to $0.1683 per share, 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 sold at each separate price within the range set forth in this footnote.
- F3Inadvertently filed with incorrect transaction date of 1/9/2018. Transaction occurred on 1/10/2018.