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Filing Details

Accession Number:: 0001209191-14-009859
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-12 18:16:43
Reporting Period:: 2014-02-12

Filing Date:: 2014-02-12
Accepted Time:: 2014-02-12 18:16:43
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1105533	Argos Therapeutics Inc	ARGS	Pharmaceutical Preparations (2834)	562110007

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1398598	Hubert Birner	C/Otvmv Life Science Ventures Gmbh&Amp;Co.kg Ottostrabe 4 Munich 2M 80333		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-02-12	8,202	$0.00	8,202	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-02-12	94,351	$0.00	102,553	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-02-12	665,583	$0.00	768,136	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-02-12	663,082	$0.00	1,431,218	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-02-12	39,873	$8.00	1,471,091	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Preferred Stock	Disposition	2014-02-12	8,202	$0.00	8,202	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-02-12	94,351	$0.00	94,351	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-02-12	665,583	$0.00	665,583	$0.00
Common Stock	Series E Preferred Stock	Disposition	2014-02-12	663,082	$0.00	663,082	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

Each share of Series B Preferred Stock converted into 0.013 shares of common stock upon the closing of the Issuer's initial public offering of common stock for no additional consideration. The Series B Preferred Stock has no expiration date.
Each share of Series C Preferred Stock converted into 0.0074 shares of common stock upon the closing of the Issuer's initial public offering of common stock for no additional consideration. The Series C Preferred Stock has no expiration date.
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.
The shares are directly held by TVM V Life Science Ventures GmbH & Co. KG ("TVM V"), the managing limited partner of which is TVM V Life Science Ventures Management GmbH & Co. KG ("TVM V Management"), for which the Reporting Person, Stefan Fischer ("Fischer"), Alexandra Goll ("Goll") and Axel Polack ("Polack"), each a member of the investment committee of TVM V Management, share voting and investment authority over the shares held by TVM V. Each of TVM V Management, the Reporting Person, Fischer, Goll and Polack disclaims beneficial ownership of these shares except to the extent of their pecuniary interest therein, if any.