0001209191-14-009857.txt : 20140212 0001209191-14-009857.hdr.sgml : 20140212 20140212181324 ACCESSION NUMBER: 0001209191-14-009857 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140212 FILED AS OF DATE: 20140212 DATE AS OF CHANGE: 20140212 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: 14601946 MAIL ADDRESS: STREET 1: POSTBUS 5187 CITY: NAARDEN STATE: P7 ZIP: 1410 AD 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-02-12 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 2014-02-12 4 C 0 984840 A 984840 I See footnotes Common Stock 2014-02-12 4 C 0 1428888 A 2413728 I See footnotes Common Stock 2014-02-12 4 P 0 36416 8.00 A 2450144 I See footnotes Series D Preferred Stock 2014-02-12 4 C 0 984840 0.00 D Common Stock 984840 0 I See footnotes Series E Preferred Stock 2014-02-12 4 C 0 1428888 0.00 D Common Stock 1428888 0 I See footnotes Each share of Series D Preferred Stock converted into 0.1667 shares of common stock upon the closing of the Issuer's initial public offering of common stock for no additional consideration. The Series D Preferred Stock has no expiration date. Each share of Series E Preferred Stock converted into 0.1667 shares of common stock upon the closing of the Issuer's initial public offering of common stock for no additional consideration. The Series E Preferred Stock has no expiration date. Represents shares held of record by Cooperatieve AAC LS U.A. Consists of (i) 247,847 shares held by Cooperatieve AAC LS U.A. and (ii) 1,181041 shares held by Forbion Co-Investment II Cooperatief U.A. Consists of (i) 21,701 shares purchased by Cooperatieve AAC LS U.A. and (ii) 14,715 shares purchased by Forbion Co-Investment II Cooperatief 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. 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. /s/ Sander van Deventer 2014-02-12