0001209191-14-008191.txt : 20140206 0001209191-14-008191.hdr.sgml : 20140206 20140206204126 ACCESSION NUMBER: 0001209191-14-008191 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140206 FILED AS OF DATE: 20140206 DATE AS OF CHANGE: 20140206 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: Harrelson Lori R. CENTRAL INDEX KEY: 0001543053 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35443 FILM NUMBER: 14581616 MAIL ADDRESS: STREET 1: 4233 TECHNOLOGY DRIVE CITY: DURHAM STATE: NC ZIP: 27704 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2014-02-06 0 0001105533 ARGOS THERAPEUTICS INC ARGS 0001543053 Harrelson Lori R. C/O ARGOS THERAPEUTICS, INC. 4233 TECHNOLOGY DRIVE DURHAM NC 27704 0 1 0 0 Vice President of Finance Stock Option (right to buy) 4.20 2018-07-02 Common Stock 1742 D Stock Option (right to buy) 4.20 2018-12-05 Common Stock 701 D Stock Option (right to buy) 4.20 2021-02-28 Common Stock 2768 D Stock Option (right to buy) 4.20 2021-09-06 Common Stock 7967 D Stock Option (right to buy) 4.20 2022-04-10 Common Stock 16915 D Stock Option (right to buy) 4.20 2022-12-11 Common Stock 10259 D Stock Option (right to buy) 5.82 2023-11-01 Common Stock 53891 D Stock Option (right to buy) 5.82 2023-11-11 Common Stock 23796 D This option is fully vested and exercisable. This option is fully vested and exercisable. This option is fully vested and exercisable. This option was granted on September 6, 2011 and vested as to 25% of the shares underlying this option on September 6, 2012, with the remaining 75% of the shares underlying this option vesting and becoming exercisable in equal amounts monthly over the next three years. This option was granted on April 10, 2012 and vested as to 33% of the shares underlying this option on the date of grant, with the remaining 66% of the shares underlying this option vesting in equal amounts monthly over the next three years beginning on April 10, 2012. This option was granted on December 11, 2012 and vested as to 50% of the shares underlying this option on the date of grant, with the remaining 50% of the shares underlying this option vesting in equal amounts monthly over the next two years beginning on October 31, 2012. This option was granted on November 1, 2013 and vests as to 25% of the shares underlying this option on November 11, 2014, with the remaining 75% of the shares underlying this option vesting in equal amounts monthly over the next three years beginning on November 11, 2014. This option was granted on November 11, 2013 and vests as to 25% of the shares underlying this option on November 1, 2014, with the remaining 75% of the shares underlying this option vesting in equal amounts monthly over the next three years beginning on November 1, 2014. Reflects a one-for-six reverse stock split of the Issuer's Common Stock that was effected on January 17, 2014, pursuant to which (i) the number of shares of Common Stock underlying this option was divided by six and (ii) the exercise price of this option was multiplied by six. Exhibit Index Exhibit 24.1 - Power of Attorney /s/ Lori R. Harrelson 2014-02-06 EX-24.1 2 attachment1.htm EX-24.1 DOCUMENT

         Limited Power Of Attorney For Section 16 Reporting Obligations

Know all by these presents, that the undersigned hereby makes, constitutes and
appoints Jeffrey D. Abbey as the undersigned's true and lawful attorney-in-fact
with full power and authority as hereinafter described to:

        (1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer and/or director of, and/or holder of equity in, Argos
Therapeutics, Inc. (the "Company"), Forms 3, 4, and 5 (including any amendments
thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934
and the rules thereunder (the "Exchange Act");

        (2) do and perform any and all acts for and on behalf of the undersigned
which may be necessary or desirable to prepare, complete and execute any such
Form 3, 4, or 5, prepare, complete and execute any amendment or amendments
thereto, and timely deliver and file such form with the United States Securities
and Exchange Commission (the "SEC") and any stock exchange or similar authority,
including without limitation the filing of a Form ID or any other application
materials to enable the undersigned to gain or maintain access to the Electronic
Data Gathering Analysis and Retrieval System of the SEC;

        (3) seek or obtain, as the undersigned's representative and on the
undersigned's behalf, information regarding transactions in the Company's
securities from any third party, including brokers, employee benefit plan
administrators and trustees, and the undersigned hereby authorizes any such
person to release any such information to such attorney-in-fact and approves and
ratifies any such release of information; and

        (4) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.

The undersigned hereby grants to such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorney-in-fact, in
serving in such capacity at the request of the undersigned, is not assuming nor
relieving, nor is the Company assuming nor relieving, any of the undersigned's
responsibilities to comply with Section 16 of the Exchange Act. The undersigned
acknowledges that neither the Company nor the foregoing attorney-in-fact assume
(i) any liability for the undersigned's responsibility to comply with the
requirement of the Exchange Act, (ii) any liability of the undersigned for any
failure to comply with such requirements, or (iii) any obligation or liability
of the undersigned for profit disgorgement under Section 16(b) of the Exchange
Act.

This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this February 6th, 2014.

                                        /s/ Lori R. Harrelson
                                        -----------------------------------
                                        Signature
                                        Name: Lori R. Harrelson