SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
van Deventer Sander

(Last) (First) (Middle)
C/O FORBION CAPITAL PARTNERS
GOOIMEER 2-35

(Street)
1411 DC NAARDEN P7

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/06/2014
3. Issuer Name and Ticker or Trading Symbol
ARGOS THERAPEUTICS INC [ ARGS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series D Preferred Stock (1) (1) Common Stock 984,840(1) (1) I See footnote(3)
Series E Preferred Stock (2) (2) Common Stock 247,847(2) (2) I See footnote(3)
Series E Preferred Stock (2) (2) Common Stock 1,181,041(2) (2) I See footnote(4)
Explanation of Responses:
1. The Series D Preferred Stock has no expiration date. Each share of Series D Preferred Stock will convert automatically into 0.1667 shares of Common Stock upon the closing of the Issuer's initial public offering, which reflects a one-for-six reverse stock split of the Issuer's Common Stock that was effected on January 17, 2014.
2. The Series E Preferred Stock has no expiration date. Each share of Series E Preferred Stock will convert automatically into 0.1667 shares of Common Stock upon the closing of the Issuer's initial public offering, which reflects a one-for-six reverse stock split of the Issuer's Common Stock that was effected on January 17, 2014.
3. Represents securities held of record by Cooperatieve AAC LS U.A. 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 the Reporting Person. 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.
4. Represents securities held of record by Forbion Co-Investment II Cooperatief U.A. 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 the Reporting Person. 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.
Remarks:
Exhibit Index Exhibit 24.1 - Power of Attorney
/s/ Sander van Deventer 02/06/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.