Filing Details

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G

(Amendment No. 1)

 

Under the Securities Exchange Act of 1934

 

 

Argos Therapeutics, Inc.

(Name of Issuer)

 

 

Common Stock

(Title of Class of Securities)

 

 

040221103

(CUSIP Number)

 

 

December 31, 2016

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨

Rule 13d-1(b)

x

Rule 13d-1(c)

¨

Rule 13d-1(d)

 

 

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing of this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.

 

 

1.	Name of Reporting Person
	I.R.S. Identification No. of Above Person  (Entities Only)
	Intersouth Affiliates V, L.P.
2.	Check the Appropriate Box if a Member of a Group
	Not Applicable
	(a) ¨
	(b) ¨
3.	SEC Use Only
4.	Citizenship or Place of Organization
	Delaware

 

Number of Shares Beneficially Owned By Each Reporting Person with	5.	Sole Voting Power
		0
	6.	Shared Voting Power
		32,999
	7.	Sole Dispositive Power
		0
	8.	Shared Dispositive Power
		32,999

 

9.	Aggregate Amount Beneficially Owned by Each
	32,999
10.	Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
	Not Applicable
11.	Percent of Class Represented by Amount in Row (9)
	Less than 1%
12.	Type of Reporting Person
	PN

 

 

1.	Name of Reporting Person
	I.R.S. Identification No. of Above Person  (Entities Only)
	Intersouth Partners V, L.P.
2.	Check the Appropriate Box if a Member of a Group
	Not Applicable
	(a) ¨
	(b) ¨
3.	SEC Use Only
4.	Citizenship or Place of Organization
	Delaware

 

Number of Shares Beneficially Owned By Each Reporting Person with	5.	Sole Voting Power
		0
	6.	Shared Voting Power
		721,883
	7.	Sole Dispositive Power
		0
	8.	Shared Dispositive Power
		721,883

 

9.	Aggregate Amount Beneficially Owned by Each Reporting Person
	721,883
10.	Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
	Not Applicable
11.	Percent of Class Represented by Amount in Row (9)
	1.7%
12.	Type of Reporting Person
	PN

 

 

1.	Name of Reporting Person
	I.R.S. Identification No. of Above Person  (Entities Only)
	Intersouth Associates V LLC
2.	Check the Appropriate Box if a Member of a Group
	Not Applicable
	(a)¨
	(b)¨
3.	SEC Use Only
4.	Citizenship or Place of Organization
	Delaware

 

Number of Shares Beneficially Owned By Each Reporting Person with	5.	Sole Voting Power
		0
	6.	Shared Voting Power
		754,882
	7.	Sole Dispositive Power
		0
	8.	Shared Dispositive Power
		754,882

  

9.	Aggregate Amount Beneficially Owned by Each Reporting Person
	754,882
10.	Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
	Not Applicable
11.	Percent of Class Represented by Amount in Row (9)
	1.8%
12.	Type of Reporting Person
	OO

 

 

1.	Name of Reporting Person
	I.R.S. Identification No. of Above Person  (Entities Only)
	Intersouth Partners IV, L.P.
2.	Check the Appropriate Box if a Member of a Group
	Not Applicable
	(a)¨
	(b)¨
3.	SEC Use Only
4.	Citizenship or Place of Organization
	Delaware

 

Number of Shares Beneficially Owned By Each Reporting Person with	5.	Sole Voting Power
		0
	6.	Shared Voting Power
		315,094
	7.	Sole Dispositive Power
		0
	8.	Shared Dispositive Power
		315,094

 

9.	Aggregate Amount Beneficially Owned by Each Reporting Person
	315,094
10.	Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
	Not Applicable
11.	Percent of Class Represented by Amount in Row (9)
	Less than 1%
12.	Type of Reporting Person
	PN

 

 

1.	Name of Reporting Person
	I.R.S. Identification No. of Above Person  (Entities Only)
	Intersouth Associates IV LLC
2.	Check the Appropriate Box if a Member of a Group
	Not Applicable
	(a)¨
	(b)¨
3.	SEC Use Only
4.	Citizenship or Place of Organization
	Delaware

 

Number of Shares Beneficially Owned By Each Reporting Person with	5.	Sole Voting Power
		0
	6.	Shared Voting Power
		315,094
	7.	Sole Dispositive Power
		0
	8.	Shared Dispositive Power
		315,094

 

9.	Aggregate Amount Beneficially Owned by Each Reporting Person
	315,094
10.	Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
	Not Applicable
11.	Percent of Class Represented by Amount in Row (9)
	Less than 1%
12.	Type of Reporting Person
	OO

 

 

1.	Name of Reporting Person
	I.R.S. Identification No. of Above Person  (Entities Only)
	Mitch Mumma
2.	Check the Appropriate Box if a Member of a Group
	Not Applicable
	(a)¨
	(b)¨
3.	SEC Use Only
4.	Citizenship or Place of Organization
	United States of America

 

Number of Shares Beneficially Owned By Each Reporting Person with	5.	Sole Voting Power
		0
	6.	Shared Voting Power
		1,069,976
	7.	Sole Dispositive Power
		0
	8.	Shared Dispositive Power
		1,069,976

 

9.	Aggregate Amount Beneficially Owned by Each Reporting Person
	1,069,976
10.	Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
	Not Applicable
11.	Percent of Class Represented by Amount in Row (9)
	2.6%
12.	Type of Reporting Person
	IN

 

 

1.	Name of Reporting Person
	I.R.S. Identification No. of Above Person  (Entities Only)
	Dennis Dougherty
2.	Check the Appropriate Box if a Member of a Group
	Not Applicable
	(a) ¨
	(b) ¨
3.	SEC Use Only
4.	Citizenship or Place of Organization
	United States of America

 

Number of Shares Beneficially Owned By Each Reporting Person with	5.	Sole Voting Power
		0
	6.	Shared Voting Power
		1,069,976
	7.	Sole Dispositive Power
		0
	8.	Shared Dispositive Power
		1,069,976

 

9.	Aggregate Amount Beneficially Owned by Each Reporting Person
	1,069,976
10.	Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
	Not Applicable
11.	Percent of Class Represented by Amount in Row (9)
	2.6%
12.	Type of Reporting Person
	IN

 

 

Item 1(a)

Name of Issuer

 

Argos Therapeutics, Inc.

 

Item 1(b)

Address of Issuer’s Principal Executive Offices

 

4233 Technology Drive, Durham, NC 27704.

 

Item 2 (a)

Name of Person Filing

 

This Amendment No. 1 to Schedule 13G is being filed by Intersouth Partners V, L.P., Intersouth Affiliates V, L.P., Intersouth Associates V LLC, Intersouth Partners IV, L.P., Intersouth Associates IV LLC, Mitch Mumma and Dennis Dougherty (together, the “Reporting Persons”).

 

Item 2(b)

Address of Principal Business Office, or if none, Residence

 

102 City Hall Plaza, Suite 200, Durham, NC 27701.

 

Item 2(c)

Citizenship

 

Dennis Dougherty and Mitch Mumma are United States citizens. Each of Intersouth Partners V, L.P., Intersouth Affiliates V, L.P. and Intersouth Partners IV, L.P. is a limited partnership organized under the laws of the State of Delaware. Intersouth Associates V LLC and Intersouth Associates IV LLC are limited liability companies organized under the laws of the State of Delaware.

 

Item 2(d)

Title of Class of Securities

 

Common Stock, par value $0.001 per share.

 

Item 2(e)

CUSIP Number

 

040221103

 

Item 3.

Filing pursuant to Rules 13d-1(b) or 13d-2(b) or (c)

 

Not Applicable

 

 

Item 4.

Ownership

 

(a)       The Reporting Persons are the beneficial owners of an aggregate of 1,069,976 shares of Common Stock, which represents 2.6% of the Issuer’s outstanding Common Stock based upon 41,246,954 shares outstanding as reported on the Issuer’s Form 10-Q filed with the Securities and Exchange Commission on November 14, 2016. The Reporting Persons’ beneficial ownership consists of (i) 32,999 shares of Common Stock held by Intersouth Affiliates V, L.P., (ii) 721,883 shares of Common Stock held by Intersouth Partners V, L.P., and (iii) 315,094 shares of Common Stock held by Intersouth Partners IV, L.P.

 

Intersouth Associates V LLC, the general partner of each of Intersouth Partners V, L.P. and Intersouth Affiliates V, L.P., and Intersouth Associates IV LLC, the general partner of Intersouth Partners IV, L.P., may be deemed to share voting and dispositive power over the shares held by each of Intersouth Affiliates V, L.P. and Intersouth Partners V, L.P. and Intersouth Partners IV, L.P., respectively. Dennis Dougherty and Mitch Mumma are both Member Managers of Intersouth Associates V LLC, and Intersouth Associates IV LLC, and share voting and investment power over the shares held by Intersouth Affiliates V, L.P., Intersouth Partners V, L.P. and Intersouth Partners IV, L.P.

 

(b)

Percent of class:

 

Intersouth Affiliates V, L.P.: less than 1%

Intersouth Partners V, L.P.: 1.7%

Intersouth Associates V LLC: 1.8%

Intersouth Partners IV, L.P.: less than 1%

Intersouth Partners IV LLC: less than 1%

Mitch Mumma: 2.6%

Dennis Dougherty: 2.6%

 

(c)

Number of shares as to which such person has:

 

Sole power to vote or to direct the vote: 0

 

Shared power to vote or to direct the vote:

 

Intersouth Affiliates V, L.P.: 32,999

Intersouth Partners V, L.P.: 721,883

Intersouth Associates V LLC: 754,882

Intersouth Partners IV, L.P.: 315,094

Intersouth Partners IV LLC: 315,094

Mitch Mumma: 1,069,976

Dennis Dougherty: 1,069,976

 

Sole power to dispose or to direct the disposition of: 0

 

Shared power to dispose or to direct the disposition of:

 

Intersouth Affiliates V, L.P.: 32,999

Intersouth Partners V, L.P.: 721,883

Intersouth Associates V LLC: 754,882

Intersouth Partners IV, L.P.: 315,094

Intersouth Partners IV LLC: 315,094

Mitch Mumma: 1,069,976

Dennis Dougherty: 1,069,976

 

 

Item 5.

Ownership of Five Percent or Less of a Class

 

If this statement is being filed to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owners of more than five percent of the class of securities, check the following x.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

 

Not Applicable

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

 

Not Applicable

 

Item 8.

Identification and Classification of Members of the Group

 

Not Applicable

 

Item 9.

Notice of Dissolution of Group

 

Not Applicable

 

Item 10.

Certification

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

Exhibit Index

Exhibit A – Joint Filing Agreement

 

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Date:   February 13, 2017
	/s/ Mitch Mumma
	Mitch Mumma
	/s/ Dennis Dougherty
	Dennis Dougherty
	INTERSOUTH AFFILIATES V, L.P.
	By: Intersouth Associates V LLC,
	its general partner
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager
	INTERSOUTH PARTNERS V, L.P.
	By: Intersouth Associates V LLC,
	its general partner
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager

 

 

 

	INTERSOUTH ASSOCIATES V LLC
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager
	INTERSOUTH PARTNERS IV, L.P.
	By: Intersouth Associates IV LLC,
	its general partner
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager
	INTERSOUTH ASSOCIATES IV LLC
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager

 

 

Exhibit A

Agreement Regarding the Joint Filing of Amendment No. 1 to Schedule 13G

 

 

The undersigned, being duly authorized thereunto, hereby execute this agreement as an exhibit to this Amendment No. 1 to Schedule 13G to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule jointly on behalf of each such party.

 

Date: February 13, 2017

 

 

 

[Signature Pages Follow]

 

 

 

IN WITNESS WHEREOF, the parties hereto have executed and delivered this Agreement as of the date first written above.

 

	/s/ Mitch Mumma
	Mitch Mumma
	/s/ Dennis Dougherty
	Dennis Dougherty
	INTERSOUTH AFFILIATES V, L.P.
	By: Intersouth Associates V LLC,
	its general partner
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager
	INTERSOUTH PARTNERS V, L.P.
	By: Intersouth Associates V LLC,
	its general partner
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager

 

  

	INTERSOUTH ASSOCIATES V LLC
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager
	INTERSOUTH PARTNERS IV, L.P.
	By: Intersouth Associates IV LLC,
	its general partner
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager
	INTERSOUTH ASSOCIATES IV LLC
	By:	/s/ Mitch Mumma
	Name:	Mitch Mumma
	Title:	Member Manager