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