Filing Details

Accession Number:
0000899243-16-026290
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-08-04 15:30:02
Reporting Period:
2016-08-02
Filing Date:
2016-08-04
Accepted Time:
2016-08-04 15:30:02
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
1669166 B.v. Forargos C/O Forbion Capital Partners
Goomieer 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 2016-08-02 1,545,454 $0.00 3,749,817 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
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 2016-08-02 1,159,090 $0.00 1,159,090 $5.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,159,090 2016-08-02 2021-08-02 No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,450,144 Indirect See Footnotes
Footnotes
  1. The reported securities were purchased by the Reporting Person for $5.50 per share of common stock and accompanying warrant. The shares of common stock and warrants were purchased in combination, with one warrant to purchase up to 0.75 of a share of common stock accompanying each share of common stock.
  2. Consists of (i) 1,254,388 shares held by Cooperatieve AAC LS U.A. and (ii) 1,195,756 shares held by Forbion Co-Investment II Cooperatief U.A.
  3. Forbion 1 Management B.V., the director of Cooperatieve AAC LS U.A and ForArgos, B.V., has voting and investment power over the reported securities held by Cooperatieve AAC LS U.A. and ForArgos B.V., which are exercised through Forbion 1 Management B.V.'s investment committee, consisting of H. A. Slootweg, M. A. van Osch, G. J. Mulder and Sander van Deventer. None of the members of the investment committee have individual voting and investment power with respect to such securities, and the members disclaim beneficial ownership of such securities except to the extent of their proportionate pecuniary interests therein. 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 H. A. Slootweg, M. A. van Osch, G. J. Mulder and Sander van Deventer.
  4. (Continued from Footnote 3) 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.