SEC Form 4 · accession 0001556834-16-000009
ARGOS THERAPEUTICS INC · ARGS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joan Winterbottom
Officer — Chief Human Resource Officer
Period of report
Jun 13, 2016
Accepted (ET)
Jun 15, 2016 · 5:05 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 Stock | Jun 13, 2016 | A | 7,287 | $0.00 | A | 40,996 | 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 | $7.41 | Jun 13, 2016 | A | 80,000 | A | — | Jun 12, 2026 | Common Stock | 80,000 | 80,000 | D |
Explanation of responses
- F1This option was granted on June 13, 2016 and vests as to 25% of the shares underlying this option on June 13, 2017, with the remaining 75% of the shares underlying this option vesting in equal amounts monthly over the next three years beginning June 13, 2017.