0000899243-16-026292.txt : 20160804 0000899243-16-026292.hdr.sgml : 20160804 20160804153114 ACCESSION NUMBER: 0000899243-16-026292 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160802 FILED AS OF DATE: 20160804 DATE AS OF CHANGE: 20160804 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARGOS THERAPEUTICS INC CENTRAL INDEX KEY: 0001105533 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 562110007 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4233 TECHNOLOGY DR CITY: DURHAM STATE: NC ZIP: 27704 BUSINESS PHONE: 9192876300 MAIL ADDRESS: STREET 1: 4233 TECHNOLOGY DR CITY: DURHAM STATE: NC ZIP: 27704 FORMER COMPANY: FORMER CONFORMED NAME: MERIX BIOSCIENCE INC DATE OF NAME CHANGE: 20000207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: van Deventer Sander CENTRAL INDEX KEY: 0001543084 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35443 FILM NUMBER: 161807116 MAIL ADDRESS: STREET 1: POSTBUS 5187 CITY: NAARDEN STATE: P7 ZIP: 1410 AD 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-08-02 0 0001105533 ARGOS THERAPEUTICS INC ARGS 0001543084 van Deventer Sander C/O FORBION CAPITAL PARTNERS GOOIMEER 2-35 1411 DC NAARDEN P7 NETHERLANDS 1 0 1 0 Common Stock 2016-08-02 4 P 0 1545454 A 6199961 I See footnotes Common Stock Warrants (right to buy) 5.50 2016-08-02 4 P 0 1159090 A 2016-08-02 2021-08-02 Common Stock 1159090 1159090 I See footnotes 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. The reported securities purchased by the Reporting Person are held of record by ForArgos B.V. Consists of (i) 3,749,817 shares held by ForArgos, B.V., (ii) 1,254,388 shares held by Cooperatieve AAC LS U.A. and (iii) 1,195,756 shares held by Forbion Co-Investment II Cooperatief U.A. 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 the Reporting Person. 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 the Reporting Person. (continued from footnote 4) 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. /s/ Lori R. Harrelson, as attorney-in-fact 2016-08-04