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

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

LCC Legacy Holdings Inc.

(Last)

(First)

(Middle)

141 ADELAIDE STREET WEST, SUITE 770

(Street)

TORONTO

M5H 3L5

(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	13,131⁽¹⁾	⁽¹⁾	D⁽⁵⁾
Series C Preferred Stock	⁽²⁾	⁽²⁾	Common Stock	31,939⁽²⁾	⁽²⁾	I	See footnote⁽⁶⁾
Series C Preferred Stock	⁽²⁾	⁽²⁾	Common Stock	11,246⁽²⁾	⁽²⁾	I	See footnote⁽⁷⁾
Series D Preferred Stock	⁽³⁾	⁽³⁾	Common Stock	60,973⁽³⁾	⁽³⁾	D⁽⁵⁾
Series D Preferred Stock	⁽³⁾	⁽³⁾	Common Stock	385,808⁽³⁾	⁽³⁾	I	See footnote⁽⁶⁾
Series D Preferred Stock	⁽³⁾	⁽³⁾	Common Stock	135,988⁽³⁾	⁽³⁾	I	See footnote⁽⁷⁾
Series E Preferred Stock	⁽⁴⁾	⁽⁴⁾	Common Stock	60,980⁽⁴⁾	⁽⁴⁾	D⁽⁵⁾
Series E Preferred Stock	⁽⁴⁾	⁽⁴⁾	Common Stock	376,392⁽⁴⁾	⁽⁴⁾	I	See footnote⁽⁶⁾
Series E Preferred Stock	⁽⁴⁾	⁽⁴⁾	Common Stock	132,618⁽⁴⁾	⁽⁴⁾	I	See footnote⁽⁷⁾

1. Name and Address of Reporting Person^*

LCC Legacy Holdings Inc.

(Last)

(First)

(Middle)

141 ADELAIDE STREET WEST, SUITE 770

(Street)

TORONTO

M5H 3L5

(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^*

LUMIRA CAPITAL I LIMITED PARTNERSHIP

(Last)

(First)

(Middle)

141 ADELAIDE STREET WEST, SUITE 770

(Street)

TORONTO

M5H 3L5

(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^*

Lumira Capital I Quebec Limited Partnership

(Last)

(First)

(Middle)

141 ADELAIDE STREET WEST, SUITE 770

(Street)

TORONTO

M5H 3L5

(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. Represents shares held of record by LCC Legacy Holdings Inc. Voting and investment power over the securities held by LCC Legacy Holdings Inc. is exercised by the LCC Legacy Holdings Inc. board of directors. The LCC Legacy Holdings Inc. board of directors is currently composed of the following persons, none of whom has individual voting or investment power with respect to the shares held by Lumira Capital I Limited Partnership, Lumira Capital I Quebec Limited Partnership or LCC Legacy Holdings Inc., and each of whom disclaims beneficial ownership of such shares except to the extent of such person's interest therein: Peter van der Velden, Glen Ibbott, James Oborne and R. Anthony Pullen.

6. Represents shares held of record by Lumira Capital I Limited Partnership. LCC Legacy Holdings Inc., acting as the Manager of Lumira Capital I Limited Partnership, has voting and investment power over the securities held by Lumira Capital I Limited Partnership, which is exercised by the investment committee of Lumira Capital Investment Management Inc., whose members currently consist of Gerald Brunk, Daniel Hetu, Benjamin Rovinski, Peter van der Velden and Brian Underdown.

7. Represents shares held of record by Lumira Capital I Quebec Limited Partnership. Lumira Capital I (QGP) Inc., which is the general partner of Lumira Capital I Quebec Limited Partnership and a wholly-owned subsidiary of LCC Legacy Holdings Inc., has voting and investment power over the shares held by Lumira Capital I Quebec Limited Partnership. Such investment and voting power is exercised, based on the recommendations of the Lumira Capital Investment Management Inc. investment committee (members listed in footnote 6 above), by the board of directors of Lumira Capital I (QGP) Inc., being: Vasco Larcina; Peter van der Velden. None of the foregoing persons has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of such person's pecuniary interest therein.

Remarks:

Exhibit Index Exhibit 24.1 - Power of Attorney

	/s/ Vasco Larcina	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.