0001293577-18-000003.txt : 20180112 0001293577-18-000003.hdr.sgml : 20180112 20180112152144 ACCESSION NUMBER: 0001293577-18-000003 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180110 FILED AS OF DATE: 20180112 DATE AS OF CHANGE: 20180112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Katz Richard D CENTRAL INDEX KEY: 0001293577 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-35443 FILM NUMBER: 18525831 MAIL ADDRESS: STREET 1: 4505 EMPEROR BOULEVARD STREET 2: SUITE 300 CITY: DURHAM STATE: NC ZIP: 27703 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 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0306 4/A 2018-01-10 2018-01-12 0 0001105533 ARGOS THERAPEUTICS INC ARGS 0001293577 Katz Richard D 4505 EMPEROR BOULEVARD SUITE 300 DURHAM NC 27703 0 1 0 0 Vice President and CFO Common Stock 2018-01-10 4 S 0 104435 0.1647 D 193959 D Shares reported represent an amount sold to cover the tax liabilities of the reporting person pursuant to a 10b5-1 sales instruction related to a restricted stock award agreement dated August 30, 2017. Acquisition of the restricted stock was previously reported in Table I of the reporting person's Form 4 on August 31, 2017. The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $0.1621 to $0.1683 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Inadvertently filed with incorrect transaction date of 1/9/2018. Transaction occurred on 1/10/2018. /s/ Lori R. Harrelson, attorney-in-fact 2018-01-12