0001209191-14-009860.txt : 20140212
0001209191-14-009860.hdr.sgml : 20140212
20140212181755
ACCESSION NUMBER: 0001209191-14-009860
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: Forbion Co-Investment II Cooperatief U.A.
CENTRAL INDEX KEY: 0001598205
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35443
FILM NUMBER: 14601976
BUSINESS ADDRESS:
STREET 1: GOOIMEER 2-35
CITY: NAARDEN
STATE: P7
ZIP: 1411DC
BUSINESS PHONE: 31 35 6993000
MAIL ADDRESS:
STREET 1: GOOIMEER 2-35
CITY: NAARDEN
STATE: P7
ZIP: 1411DC
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cooperatieve AAC LS U.A.
CENTRAL INDEX KEY: 0001543352
STATE OF INCORPORATION: P7
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35443
FILM NUMBER: 14601977
BUSINESS ADDRESS:
STREET 1: POSTBUS 5187
CITY: NAARDEN
STATE: P7
ZIP: 1410
BUSINESS PHONE: 31 0 35 699 3000
MAIL ADDRESS:
STREET 1: POSTBUS 5187
CITY: NAARDEN
STATE: P7
ZIP: 1410
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-02-12
0
0001105533
ARGOS THERAPEUTICS INC
ARGS
0001543352
Cooperatieve AAC LS U.A.
C/O FORBION CAPITAL PARTNERS
GOOIMEER 2-35
1411 DC NAARDEN
P7
NETHERLANDS
0
0
1
0
0001598205
Forbion Co-Investment II Cooperatief U.A.
C/O FORBION
GOOIMEER 2-35
1411 DC NAARDEN
P7
NETHERLANDS
0
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 S. J. H. van Deventer. 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 S. J. H. van Deventer. 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/ H.A. Slootweg
2014-02-12
/s/ M.A. van Osch
2014-02-12