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Filing Details

Accession Number:: 0001209191-14-009865
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-12 18:21:59
Reporting Period:: 2014-02-12

Filing Date:: 2014-02-12
Accepted Time:: 2014-02-12 18:21:59
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
1526335	J. Brian Underdown	C/O Lumira Capital Investment Management Inc. 141 Adelaide Street West, Suite 770 Toronto A6 M5H 3L5		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	13,131	$0.00	13,131	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2014-02-12	43,185	$0.00	56,316	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2014-02-12	582,769	$0.00	639,085	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2014-02-12	569,990	$0.00	1,209,075	No	4	C	Indirect	See footnotes
Common Stock	Acquisiton	2014-02-12	40,497	$8.00	1,249,572	No	4	P	Indirect	See footnotes

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

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	13,131	$0.00	13,131	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-02-12	43,185	$0.00	43,185	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-02-12	582,769	$0.00	582,769	$0.00
Common Stock	Series E Preferred Stock	Disposition	2014-02-12	569,990	$0.00	569,990	$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.
Represents shares held of record by LCC Legacy Holdings Inc.
Consists of (i) 31,939 shares held by Lumira Capital I Limited Partnership and (ii) 11,246 shares held by Lumira Capital I Quebec Limited Partnership.
Consists of (i) 60,973 shares held by LCC Legacy Holdings Inc.; (ii) 385,808 shares held by Lumira Capital I Limited Partnership; and (iii) 135,988 shares held by Lumira Capital I Quebec Limited Partnership.
Consists of (i) 60,980 shares held by LCC Legacy Holdings Inc.; (ii) 376,392 shares held by Lumira Capital I Limited Partnership; and (iii) 132,618 shares held by Lumira Capital I Quebec Limited Partnership.
Consists of (i) 4,149 shares purchased by LCC Legacy Holdings Inc.; (ii) 26,877 shares purchased by Lumira Capital I Limited Partnership; and (iii) 9,471 shares purchased by Lumira Capital I Quebec Limited Partnership.
Lumira Capital I Limited Partnership, or CI, and Lumira Capital I Quebec Limited Partnership, or CQ, are investment funds, or Lumira Funds, LCC Legacy Holdings Inc., or LCC, and its wholly-owned subsidiaries provide investment management services to the Lumira Funds. In the case of CQ: Lumira Capital I (QGP) Inc., which is the general partner of CQ and a wholly-owned subsidiary of LCC, has voting and investment power over the shares held by CQ. Such investment and voting power is exercised, based on the recommendations of the investment committee of Lumira Capital Investment Management Inc., whose members currently consist of Gerald Brunk, Daniel Hetu, Benjamin Rovinkski, Peter van der Velden and the Reporting Person, and by the board of directors of Lumira Capital I (QGP) Inc., being: Vasco Larcina; Peter van der Velden.
(Continued from Footnote 10) None of the foregoing persons has individual voting or investment power with respect to such shares and each, including the Reporting Person, disclaims beneficial ownership of such shares except to the extent of such person's pecuniary interest therein. In the case of CI: LCC, acting as the Manager, has voting and investment power over the securities held by CI, which is exercised by the investment committee of Lumira Capital Investment Management Inc. (members listed above). In the case of LCC: voting and investment power over the securities held by LCC is exercised by the LCC board of directors (members listed below). The LCC board of directors is currently composed of the following persons, none of whom has individual voting or investment power with respect to the shares held by Funds or LCC, and each of whom disclaims beneficial ownership of such shares except to the extent of such person's interest therein:
(Continued from Footnote 11) Peter van der Velden, Glen Ibbott, James Oborne and R. Anthony Pullen. The Reporting Person is a Managing Director of Lumira Capital Investment Management Inc. and a member of its investment committee. The Reporting Person disclaims beneficial ownership of all of the shares held by Lumira Funds and LCC except to the extent of his pecuniary interest therein.