Filing Details

Accession Number:
0000899243-16-024115
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-07-01 17:06:01
Reporting Period:
2016-06-29
Filing Date:
2016-07-01
Accepted Time:
2016-07-01 17:06:01
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
1398598 Hubert Birner C/Otvmv Life Science Ventures Gmbh&Amp;Co.kg
Ottostrabe 4
Munich 2M 80333
Yes No No 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 2016-06-29 275,545 $0.00 1,930,333 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Common Stock Warrants (right to buy) Acquisiton 2016-06-29 206,659 $0.00 206,659 $5.35
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
206,659 2016-06-29 2021-06-29 No 4 P Indirect
Footnotes
  1. The reported securities are included within Units purchased by the Reporting Person for $5.44375 per Unit. Each Unit consists of one share of common stock and one warrant to purchase 0.75 shares of common stock.
  2. The reported securities are directly held by TVM V Life Science Ventures GmbH & Co. KG ("TVM V"), the managing limited partner of which is TVM V Life Science Ventures Management GmbH & Co. KG ("TVM V Management"), for which the Reporting Person, Stefan Fischer ("Fischer"), Alexandra Goll ("Goll") and Axel Polack ("Polack"), each a member of the investment committee of TVM V Management, share voting and investment authority over the securities held by TVM V. Each of TVM V Management, the Reporting Person, Fischer, Goll and Polack disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, if any.