SEC FORM 3

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

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1. Name and Address of Reporting Person^*

TVM V LIFE SCIENCE VENTURES GMBH & CO KG

(Last)

(First)

(Middle)

OTTOSTRABE 4

(Street)

MUNICH

80333

(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)

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)

	Form filed by One Reporting Person
X	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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Series B Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	8,202⁽¹⁾	⁽¹⁾	I	See footnote⁽⁵⁾
Series C Preferred Stock	⁽²⁾	⁽²⁾	Common Stock	94,351⁽²⁾	⁽²⁾	I	See footnote⁽⁵⁾
Series D Preferred Stock	⁽³⁾	⁽³⁾	Common Stock	665,583⁽³⁾	⁽³⁾	I	See footnote⁽⁵⁾
Series E Preferred Stock	⁽⁴⁾	⁽⁴⁾	Common Stock	663,082⁽⁴⁾	⁽⁴⁾	I	See footnote⁽⁵⁾

1. Name and Address of Reporting Person^*

TVM V LIFE SCIENCE VENTURES GMBH & CO KG

(Last)

(First)

(Middle)

OTTOSTRABE 4

(Street)

MUNICH

80333

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

TVM V Life Science Ventures Management GmbH & Co. KG

(Last)

(First)

(Middle)

OTTOSTRABE 4

(Street)

MUNICH

80333

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Fischer Stefan

(Last)

(First)

(Middle)

C/O TVM V LIFE SCIENCE VENTURES

MANAGEMENT GMBH &CO. KG, OTTOSTRABE 4

(Street)

MUNICH

80333

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Goll Alexandra

(Last)

(First)

(Middle)

C/O TVM V LIFE SCIENCE VENTURES

MANAGEMENT GMBH &CO. KG, OTTOSTRABE 4

(Street)

MUNICH

80333

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

1. Name and Address of Reporting Person^*

Polack Axel

(Last)

(First)

(Middle)

C/O TVM V LIFE SCIENCE VENTURES

MANAGEMENT GMBH &CO. KG, OTTOSTRABE 4

(Street)

MUNICH

80333

(City)

(State)

(Zip)

Relationship of Reporting Person(s) to Issuer

Director	X	10% Owner
Officer (give title below)		Other (specify below)

Explanation of Responses:

1. The Series B Preferred Stock has no expiration date. Each share of Series B Preferred Stock will convert automatically into 0.013 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 C Preferred Stock has no expiration date. Each share of Series C Preferred Stock will convert automatically into 0.0074 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. 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.

4. 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.

5. The shares 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 Hubert Birner ("Birner"), Stefan Fischer ("Fisher"), Alexandra Goll ("Goll") and Alex Polack ("Polack"), each a member of the investment committee of TVM V Management, share voting and investment authority over the shares held by TVM V. Each of TVM V Manangement, Birner, Fischer, Goll and Polack disclaims beneficial ownership of these shares, except to the extent of their pecuniary interest therein, if any.

Remarks:

	/s/ Stefan Fischer	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.
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