Filing Details

Accession Number:
0001209191-14-009860
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-12 18:17:55
Reporting Period:
2014-02-12
Filing Date:
2014-02-12
Accepted Time:
2014-02-12 18:17:55
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1105533 Argos Therapeutics Inc ARGS Pharmaceutical Preparations (2834) 562110007
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1543352 U.a. Ls Aac Cooperatieve C/O Forbion Capital Partners
Gooimeer 2-35
1411 Dc Naarden P7
No No Yes No
1598205 Forbion Co-Investment Ii Cooperatief U.a. C/O Forbion
Gooimeer 2-35
1411 Dc Naarden P7
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-02-12 984,840 $0.00 984,840 No 4 C Indirect See footnotes
Common Stock Acquisiton 2014-02-12 1,428,888 $0.00 2,413,728 No 4 C Indirect See footnotes
Common Stock Acquisiton 2014-02-12 36,416 $8.00 2,450,144 No 4 P Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 P Indirect See footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series D Preferred Stock Disposition 2014-02-12 984,840 $0.00 984,840 $0.00
Common Stock Series E Preferred Stock Disposition 2014-02-12 1,428,888 $0.00 1,428,888 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. Each share of Series D Preferred Stock converted into 0.1667 shares of common stock upon the closing of the Issuer's initial public offering of common stock for no additional consideration. The Series D Preferred Stock has no expiration date.
  2. Each share of Series E Preferred Stock converted into 0.1667 shares of common stock upon the closing of the Issuer's initial public offering of common stock for no additional consideration. The Series E Preferred Stock has no expiration date.
  3. Represents shares held of record by Cooperatieve AAC LS U.A.
  4. Consists of (i) 247,847 shares held by Cooperatieve AAC LS U.A. and (ii) 1,181041 shares held by Forbion Co-Investment II Cooperatief U.A.
  5. Consists of (i) 21,701 shares purchased by Cooperatieve AAC LS U.A. and (ii) 14,715 shares purchased by Forbion Co-Investment II Cooperatief U.A.
  6. Forbion 1 Management B.V., the director of Cooperatieve AAC LS U.A has voting and investment power over the shares held by Cooperatieve AAC LS U.A, which are exercised through Forbion 1 Management B.V.'s investment committee, consisting of L.P.A. Bergstein, H. A. Slootweg, M. A. van Osch, G. J. Mulder and S. J. H. van Deventer. None of the members of the investment committee has individual voting and investment power with respect to such shares, and the members disclaim beneficial ownership of such shares except to the extent of their pecuniary interests therein.
  7. Forbion 1 Co- II Management B.V., the director of Forbion Co-Investment II Cooperatief U.A., has voting and investment power over the shares held by Forbion Co-Investment II Cooperatief U.A., which are exercised through Forbion 1 Co II Management B.V.'s investment committee, consisting of L.P.A. Bergstein, H. A. Slootweg, M. A. van Osch, G. J. Mulder and S. J. H. van Deventer. None of the members of the investment committee has individual voting and investment power with respect to such shares, and the members disclaim beneficial ownership of such shares except to the extent of their pecuniary interests therein.