Filing Details
- Accession Number:
- 0000899243-16-016128
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-03-16 16:36:32
- Reporting Period:
- 2016-03-14
- Filing Date:
- 2016-03-16
- Accepted Time:
- 2016-03-16 16:36:32
- 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 | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2016-03-14 | 183,697 | $0.00 | 1,654,788 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Common Stock Warrants (right to buy) | Acquisiton | 2016-03-14 | 137,773 | $0.00 | 137,773 | $5.35 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
137,773 | 2016-03-14 | 2021-03-14 | No | 4 | P | Indirect |
Footnotes
- The reported securities are included within Units purchased by the Reporting Person for $5.44375 per Unit. Each Unit consists of one share of common stock and one warrant to purchase 0.75 shares of common stock.
- The reported securities 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 securities held by TVM V. Each of TVM V Management, the Reporting Person, Fischer, Goll and Polack disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, if any.