ࡱ>  l \pThe Free Software Foundation B=PF0*8X@"1 Helvetica1Courier1 Courier New1 Courier New1 Helvetica$#,##0_);($#,##0)$#,##0_);[Red]($#,##0)$#,##0.00_);($#,##0.00)$#,##0.00_);[Red]($#,##0.00)-**_($* #,##0_);_($* (#,##0);_($* "-"_);_(@_)*)'_(* #,##0_);_(* (#,##0);_(* "-"_);_(@_)5,2_($* #,##0.00_);_($* (#,##0.00);_($* "-"??_);_(@_)2+/_(* #,##0.00_);_(* (#,##0.00);_(* "-"??_);_(@_)2$#,##0.00;[Red]$#,##0.003$#,##0.00;[Red]($#,##0.00)4$#,##0;[Red]($#,##00)50.00%;[Red](0.00%)6 0%;[Red](0%)7#,##0.00;[Red](#,##0.00)8#,##0;[Red](#,##0)                + ) , *   Ј ~~ ؈ ~~#؈ ~~ ؈ ~~8#܈ ~~9#܈ ~~4#܈ ~~3#܈ ~~7#܈ ~~83ffff̙̙3f3fff3f3f33333f33 ARGOS THERAPEUTICS INCa No changesTABLE OF CONTENTS, Balance SheetIIncome StatementkIncome Statement (1)z Cash Flows&Recently Adopted Accounting Sta&Recently Adopted Accounting (1)&2 Fair Value of Financial Instr&c2 Fair Value of Financial I (1)&2 Fair Value of Financial I (2)&2 Fair Value of Financial I (3)&2 Fair Value of Financial I (4)&:4 Property and Equipment and As& 4 Property and Equipment an (1)&?6 Notes Payable and Gain on Ear&I 2014 Stock Incentive Plan and 2&V.2014 Stock Incentive Plan a (1)&N@Valuation Assumptions for StockN 9 Warrants\9 Warrants (1)f9 Warrants (2)t12 Net Loss Per Share 12 Net Loss Per Share (1)&"Comparison of the Three and Nin&ƹResearch and Development ExpensCash Flows (1)&If we decide to seek protection Item 6 Exhibits l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } 0}       ARGOS THERAPEUTICS INC 10-Q 11/19/2018 ARGOS THERAPEUTICS, INC.Delaware 56-2110007' (State or other jurisdiction of (I.R.S. Employer& incorporation or organization) Identification No.)   4233 Technology Drive~  Durham, North Carolina0((Address of principal executive offices) (Zip Code)$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,B||pd:cA=PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INCTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } U} $} } $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018 No changesLarge accelerated filer ?Accelerated filer ? Non-accelerated filer ?! Smaller reporting company ?   Emerging growth company ?  $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$y,~rpdX0=PF0*8X> @  l  %*G,  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changes Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } y } $ } :}  %     ARGOS THERAPEUTICS INC 10-Q 11/19/2018TABLE OF CONTENTS%PART I. FINANCIAL INFORMATION Item 1.  Financial Statements~   - %Condensed Consolidated Balance Sheets~     (unaudited)  , $Condensed Consolidated Statements of~    Operations (unaudited),$Condensed Consolidated Statements of~ &Comprehensive Loss (unaudited),$Condensed Consolidated Statements of~ Cash Flows (unaudited)1)Notes to Condensed Consolidated Financial~ Statements (unaudited)Item 2.,$Management?s Discussion and Analysis~ 80of Financial Condition and Results of OperationsItem 3.0(Quantitative and Qualitative Disclosures~ About Market RiskItem 4.Controls and Procedures~ "PART II. OTHER INFORMATIONItem 1.Legal Proceedings~ Item 1A. Risk Factors~ Item 6.Exhibits~  Signatures~ D( lwkBoG\"qY !"#$ !$"____________________________1#)Created by Morningstar Document Research.0$(http://documentresearch.morningstar.com/ P=PF0*8X> @2$$##"" l  6?I  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTSIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } :} $ }  } $ } y} $ 6                                 ARGOS THERAPEUTICS INC 10-Q 11/19/2018 Balance Sheet December 31, September 30,  ~  ~  Assets         Current assets        ! Cash and cash equivalents ~    ~ ڪ  Assets held for sale  ~ $    - Prepaid expenses~ lL~ ?Other receivables~ f~ vTotal current assets~ ~ '#Property and equipment, net~ Υ~ Zo Other assets~ 2~ 2 Total assets~ ,~ -%Liabilities and Stockholders? DeficitCurrent liabilitiesAccounts payable~ j>;~ fAccrued expenses~ #M~  Notes payable~ /~ +02*Current portion of other convertible notes~ n~ ]!Total current liabilities~ RG~ ;1)Convertible note payable to related party~ ~ .&Long-term portion of other convertible~ c~ b> notesDeferred liabilities~ r~ tWarrants~ R;  -DIl{oh}zun yrC2 ! " # $ % & ' ( ) * + , - . / 0 1 2 3 4 5   Commitments   -    - !Stockholders? deficit!!!!!!!!3"+Preferred stock $0.001 par value; 5,000,000"" "-""" "-"1#)shares authorized as of December 31, 2017/$'and September 30, 2018; 0 shares issued/%'and outstanding as of December 31, 2017&and September 30, 20182'*Common stock $0.001 par value; 200,000,000''~ 'N\'''~ 'n'1()shares authorized as of December 31, 20178)0and September 30, 2018; 5,906,620 and 10,586,6614*,shares issued and outstanding as of December'+31, 2017 and September 30, 2018,,$Accumulated other comprehensive loss,,~ ,bQ,,,~ ,,"-Additional paid-in capital--~ -r=V---~ -Y-.Accumulated deficit..~ .fz,...~ ..#/Total stockholders? deficit//~ /e///~ /Ɯ/30+Total liabilities and stockholders? deficit0~ 0,00~ 0012$3____________________________14)Created by Morningstar Document Research.05(http://documentresearch.morningstar.com/0m8mB${S=PF0*8X> @z5544330000     l  )ej  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } $4} $ } y} $ } y}  $ } } $ } } $ )     ARGOS THERAPEUTICS INC 10-Q 11/19/2018Income Statement( Three Months Ended September 30, ' Nine Months Ended September 30,  ~  ~  ~  ~           Revenue ~ C  ~ Z L  ~    ~                     Operating expenses                 Research and development~ F~   ~  O1  ~  "General and administrative~ ~ :  ~  )E  ~ ,$Impairment of property and equipment - -  ~  k|   -Restructuring costs~ q) -  ~  &p   -      Total operating expenses~ f~   ~   c  ~ j     Operating loss~ ^~ f-  ~    ~ Other income (expense)     Interest income~ N~ y  ~    ~ Interest expense~ ~   ~  6y  ~ *,$Gain on early extinguishment of debt~ V[~ B3  ~  3k  ~ B31)Change in fair value of warrant liability~  -  ~  ~N  ~ R; Other income (expense)~ 7~    ~  F  ~      #Other income (expense), net~ ey~   ~    ~ ƴ     Net loss~ Í~  ~    ~ f~Dlxl}f @((''&&!!!!!! !!         l  y  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome Statement Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } 0} $ }  } $ }  }  $ } } $ }  } $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018Income Statement( Three Months Ended September 30, ' Nine Months Ended September 30,  ~  ~  ~  ~  Net loss ~ Í  ~   ~   ~ f~                  ' Other comprehensive gain (loss)                0 (Foreign currency translation gain (loss)  ~ vS   ~ $   ~ :   ~ N       Total comprehensive loss~  ~  ~  q  ~ L$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.xl}R~V=PF0*8X> @         l  G  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1)!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } :} $ }  } $ } y} $ G                                 ARGOS THERAPEUTICS INC 10-Q 11/19/2018 Cash Flows'Nine Months Ended September 30,  ~  ~ , $Cash flows from operating activities         Net loss ~   ~ f~ 0 (Adjustments to reconcile net loss to net        ) !cash used in operating activities%Depreciation and amortization~ ҿ,~ -e-%Compensation expense related to stock~  !~ Dxoptions.&Issuance of common shares for research -~ )!and development license agreement,$Gain on early extinguishment of debt~ ̔~ 1)Impairment loss on property and equipment~ k| -3+Decrease in fair value of warrant liability~ ~ ,$(Gain) loss on disposal of equipment~ ~  *"Interest accrued on long-term debt~ BE~ Ns4,Changes in operating assets and liabilities:.&Prepaid expenses and other receivables~ i~ JAccounts payable~ rmo~ Accrued expenses~ vX~ ҜL3+Current portion of restructuring obligation~ ^)  -Deferred liabilities~ ~ 2Ώ.&Manufacturing research and development~  - obligationDl~r/_k> tGZ,, ! " # $ % & ' ( ) * + , - . / 0 1 2 3 4 5 6 7 8 9 : ; < = > ?          -!%Net cash used in operating activities!!~ !n|!!!~ !!""""""""",#$Cash flows from investing activities########*$"Purchase of property and equipment$$~ $*$$$ $-$4%,Proceeds from sale of property and equipment%%~ %Z-Y%%%~ %v&%&&&&&&&&&0'(Net cash (used in) provided by investing''~ 'x'''~ 'v&'( activities))))))))),*$Cash flows from financing activities********.+&Net proceeds from sale of common stock++~ +z+++~ +ڬ+-,%Proceeds from issuance of convertible,,~ ,6n,,, ,-,- note payable!.Payments on notes payable..~ .\...~ .~.-/%Payments on capital lease obligations//~ /nn/// /-/00(Proceeds from exercise of employee stock00~ 0000 0-01purchase plan shares02(Net cash (used in) provided by financing22~ 2n¤222~ 2V@23 activities/4'Effect of exchange rate changes on cash44~ 42444~ 4 415)Net decrease in cash and cash equivalents55~ 5Қ555~ 5BE5-6%Cash, cash equivalents and restricted66666666 7cash8Beginning of period88~ 8g 888~ 8 89 End of period9~ 9 :i99~ 9ڪ9:::::::::8;0Supplemental disclosure of cash flow information;;;;;;;;<Cash paid for interest<~ <(<<~ < <4=,Supplemental disclosure of noncash investing======== >and financing activities2?*Issuance of warrants in exchange for early?~ ?P?? ?$-?DlrjP*~ae;+C;5@ A B C D E F @extinguishment of debt3A+Purchase of property and equipment includedA~ AÖAA A$-A0B(in accounts payable and accrued expensesC$D____________________________1E)Created by Morningstar Document Research.0F(http://documentresearch.morningstar.com/x['=PF0*8X> @FFEEDDAAAA????<<<<9999     l  g  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } U5} $ }  } $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018-%Recently Adopted Accounting Standards!Cash and cash equivalents~ <2 *Restricted cash included in current assets  ~ *- 4 ,Total cash, cash equivalents, and restricted ~  :i 0 (cash shown in the Condensed Consolidated Statement of Cash Flows$ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,{ocW F=PF0*8X> @*   l  ~  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } U5} $ }  } $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018-%Recently Adopted Accounting Standards!Cash and cash equivalents~ = 2 *Restricted cash included in current assets  ~ *- 4 ,Total cash, cash equivalents, and restricted ~ g  0 (cash shown in the Condensed Consolidated Statement of Cash Flows$ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,{ocW F=PF0*8X> @*   l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } %} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018.&2. Fair Value of Financial Instruments Quoted Prices Significant   Significant  Balance as of    in Active  Other   Unobservable   December 31,    Markets for   Observable  Inputs ~    Identical Assets  Inputs   (Level 3)    (Level 1)   (Level 2) Assets                Money-market funds~  $-   $-  ~ "Total assets at fair value~  $-   $-  ~  Liabilities     Warrants $- $- ~  R;   ~ R; 'Total liabilities at fair value $- $- ~  R;   ~ R; $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/47 znbV(, VRF:=PF0*8X> @"$                l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } %} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018.&2. Fair Value of Financial Instruments Quoted Prices Significant   Significant  Balance as of    in Active  Other   Unobservable   September 30,    Markets for   Observable  Inputs ~    Identical Assets  Inputs   (Level 3)    (Level 1)   (Level 2) Assets                Money-market funds~ b $-   $-  ~ b"Total assets at fair value~ b $-   $-  ~ b Liabilities     Warrants $- $-   $-   $-'Total liabilities at fair value $- $-   $-   $-$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/48 znbV'+ UQE9=PF0*8X> @"$                l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } 0.} $ } I} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018.&2. Fair Value of Financial Instruments'Balance as of December 31, 2017~ R; . &Change in fair value during the period  ~  (  Balance as of September 30, 2018  $-   $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,znbVOC7=PF0*8X> @*   l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } a} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018.&2. Fair Value of Financial InstrumentsAs of December 31, 2017   Amortized Cost  Gross  Gross   Aggregate   Basis   Unrealized   Unrealized  Fair       Holding  Holding  Value       Gains  Losses Money-market funds ~    $-   $-  ~  ~  $-   $-  ~ $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|znbVnA]=PF0*8X> @              l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } a} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018.&2. Fair Value of Financial Instruments As of September 30, 2018   Amortized Cost  Gross  Gross   Aggregate   Basis   Unrealized   Unrealized  Fair       Holding  Holding  Value       Gains  Losses Money-market funds ~ b   $-   $-  ~ b ~ b $-   $-  ~ b$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|znbVm@\=PF0*8X> @              l  6  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } 8} $ }  } $ }  } $                            ARGOS THERAPEUTICS INC 10-Q 11/19/2018:24. Property and Equipment and Assets Held for Sale December 31, September 30,  ~  ~      & Office furniture and equipment ~  '  ~  '  Computer equipment  ~ F_<   ~ &s6  Computer software  ~    ~ F߿ Laboratory equipment~ BMq~ Leasehold improvements~ *~ *+#Total property and equipment, gross~ q)~ .7/Less: Accumulated depreciation and amortization~ 4~ .#Property and equipment, net~ Υ~ Zo$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/88 nbVJy|Xyma9=PF0*8X> @Z      l     dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } -} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018:24. Property and Equipment and Assets Held for Sale-%Three months ended September 30, 2017~ - %Three months ended September 30, 2018 ~ + , $Nine months ended September 30, 2017 ~ ҿ, , $Nine months ended September 30, 2018 ~ -e   $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/& @nbVJF=PF0*8X> @:    l  #  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } $4} $ } y} $ } y} $ #                                 ARGOS THERAPEUTICS INC 10-Q 11/19/2018A96. Notes Payable and Gain on Early Extinguishment of Debt December 31, September 30,  ~  ~ 1 )Convertible note payable to Pharmstandard ~   ~  3 +(related party), including accrued interest- %Convertible note payable to Invetech,  ~ ^d   ~ 5 " including accrued interest1)Convertible note payable to Saint-Gobain,~ F~ Fsg"including accrued interest2*Note payable to Medinet, including accrued~ .~ +0interestOther notes payable~  -Total notes payable~ ~ Vh0(Less current portion of convertible note~ ~ .&payable to Invetech, including accruedinterest0(Less current portion of convertible note~ ~ 2*payable to Saint-Gobain, including accruedinterest/'Less current portion of note payable to~ bV~ +#Medinet, including accrued interest3+Less current portion of other notes payable~ ' -.&Long-term portion of notes payable and~ ~ ,!convertible notes payableD lg[OC-a;|L1S rC+ ! " $ ____________________________1!)Created by Morningstar Document Research.0"(http://documentresearch.morningstar.com/ (=PF0*8X> @Z ""!!      l  ]-  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } 0.} $ }  } $ }  }  $ } y} $ } y} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018G?2014 Stock Incentive Plan and 2014 Employee Stock Purchase Plan( Three Months Ended September 30, ' Nine Months Ended September 30,  ~  ~  ~  ~  Research and development ~ %  ~ >t   ~ U^  ~ v|( " General and administrative  ~ 0   ~ >   ~    ~ RO  Restructuring costs  ~ h"    -   ~ G    -                  .&Total stock-based compensation expense~ 2x~ z=" ~   !  ~ Dx$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|aUI=N)=PF0*8X> @         l  /?  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } 8} $ }  }  $ } } $                             ARGOS THERAPEUTICS INC 10-Q 11/19/2018G?2014 Stock Incentive Plan and 2014 Employee Stock Purchase Plan Number ofWeighted  Weighted   Shares  Average Exercise  Average       Price   Contractual           Term            (in years)+ #Outstanding as of December 31, 2017  ~ *s    ףp=[@     Granted - $-     Exercised - $-     Cancelled~ Qa@    ,$Outstanding as of September 30, 2018~ 5 ףp= ]@   \(\@     ,$Exercisable as of September 30, 2018~ v(Gz]@   = ףp=@     7/Vested and expected to vest as of September 30,~  {G]@   )\(@ ~ $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/: aUI=_[x;yp=PF0*8X> @         l  M  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1) 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } %} $ }  } $} $ } $}  $ } } $} $ } $} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018UMValuation Assumptions for Stock Option Plans and Employee Stock Purchase PlanStock Option Plan $ Employee Stock Purchase Plan           ' Nine Months Ended September 30, ' Nine Months Ended September 30,  ~  ~  ~  ~  Risk-free interest rate   Gz@ %   -    HzG? %   -  Dividend yield  ~  %   -   ~  %   - 'Expected option term (in years)~  -   ?   - Volatility~ Z % -  ~  6  %  -$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.SG;/Zly=PF0*8X> @Z        l  \  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } } $ } I } $ }  }  $ }       ARGOS THERAPEUTICS INC 10-Q 11/19/2018 9. WarrantsType of Warrant andDate of IssuanceNumber of Shares  Exercise Price  Expiration Classification              Date(s) Common stock - Equity   9/29/14   ~ @   ffffff@   9/29/21 Common stock - Equity   3/4/16   ~ N0  ~    3/4/21 Common stock - Equity   6/29/16   ~ *   ~    6/29/21 Common stock - Liability   8/2/16   ~   ~    8/02/21Common stock - Equity3/6/17~ "N ~  j  3/06/22$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,V|}qQ=PF0*8X> @Z   l  ve  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } <(} $ } } $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018 9. Warrants August 2016   Warrants Exercise price ~   Expiration date   August 2, 2021 ) !Total shares issuable on exercise  ~   $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(T}qB}=PF0*8X> @2   l  s  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } :} $ } } $} $ } $} $                             ARGOS THERAPEUTICS INC 10-Q 11/19/2018 9. WarrantsDecember 31, 2017September 30, 2018     " Exercise price of warrants ~   ~  . &Closing underlying stock price on date ~    $-   of valuation' Expected stock price volatility  ~  %   -  Expected life (in years)p= ף @ -Risk-free interest rateRQ@ % -Expected dividend yield~  % --%Valuation per common share underlying\(\? $- each warrant80Total liability for warrants on the consolidated~ R;  $- balance sheet0(Decrease in fair value during the period~ f~ R; $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/:}qd?)! h=PF0*8X> @r     l     dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } $4} $ } y} $ } }  $ } y} $ } y} $      ARGOS THERAPEUTICS INC 10-Q 11/19/201812. Net Loss Per Share( Three Months Ended September 30, ' Nine Months Ended September 30,  ~  ~  ~  ~  Net loss ~ Í  ~   ~   ~ f~ 3 +Weighted average common shares outstanding,  ~ ⸱   ~ (   ~ ~   ~ ffJ  basic and diluted                 -%Net loss per share, basic and dilutedp= ףGz޿  33333s0  (\$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,/|~rfw =PF0*8X> @         l  m  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } $} $ }  } $ }  }  $ }  } $ }  } $      ARGOS THERAPEUTICS INC 10-Q 11/19/201812. Net Loss Per Share( Three Months Ended September 30, ' Nine Months Ended September 30,  ~  ~  ~  ~ ! Stock options outstanding  ~ B   ~ v    ~ ʃ   ~ |   Warrants outstanding  ~ *   ~ *   ~ Z*   ~ * &  Convertible notes outstanding      ~ fX       ~ fX  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(]T~rfwt=PF0*8X> @J      l  #bw  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Research and Development ExpensCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } 1} $ }  } $ }  }  $ } } $ }  } $} $ }  } $ }  } $ }  } $ }  } $ #!!!!!!!!!! ! ! ! ! !!!!!!!!!!!!!!!!!!!ARGOS THERAPEUTICS INC 10-Q 11/19/2018kcComparison of the Three and Nine Months Ended September 30, 2017 with the Three and Nine Months EndThree Months Ended ~    %Nine Months Ended~  %    September 30,           September 30,  ~  ~   Change  Change ~  ~   Change  Change   (in thousands) Revenue ~   ~ ~  ~     *  ~   ~  q  ~ zm    *  Operating expenses                                 Research and development~ G~ 3  ~    fffff: %~ ~ ~ &333333;  %"General and administrative~ ,~ /  ~  "  @ %~ ʔ~ *}~ b/  %,$Impairment of property and equipment - -    -   -~  -~ V~ r  %Restructuring costs~   -  ~  f  ~ r %~ B^ -~ ¡~ r  %       Total operating expenses~ ~~ c  ~  ^  5 %~ ޮ~ E~ 6`P  %      Loss from operations~ &~ n  ~  J.  ffffffB@ %~ T~ +~ FYS@  %      Interest income~ .~ b  ~  6  ]@ %~ ~ ~ 27@  %Interest expense~ ~ j  ~  z  Pb %~ ~ ~  L@  %,$Gain on early extinguishment of debt~ ~ j  ~    33333ST@ %~ r~ j~ ~ R  %1)Change in fair value of warrant liability~  -  ~  *  ~  %~ *C~ ~ zX@  % Other expense~ ~ B  ~     *~ ~~ ~ z *       Net loss~ :~ ޱ ~    1@ %~ ~ +~ 9P@  %D#l=1%T' OVSV !!!"!$ ____________________________1!)Created by Morningstar Document Research.0"(http://documentresearch.morningstar.com/ (=PF0*8X> @ "" !!                   l  |  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and NinCash Flows (1)!If we decide to seek protectionItem 6 ExhibitsU } 1} $ } $} $ } }  $ } U} $ } $} $      ARGOS THERAPEUTICS INC 10-Q 11/19/2018)!Research and Development Expenses( Three Months Ended September 30, ' Nine Months Ended September 30,  ~  ~  ~  ~    (in thousands)/ 'Direct research and development expense                  by program: Rocapuldencel-T ~ ^  ~   ~ Y  ~ H AGS-004~ f~   ~    ~ ~     -%Total direct research and development~ ~   ~  [  ~ :Iprogram expense,$Commercial manufacturing development - -  ~  .   -expense1)Indirect research and development expense~ Z4~ "  ~  ~  ~ ~     .&Total research and development expense~ G~ 3 ~    ~ $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/< sg[l:G0}'=PF0*8X> @          l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development Expens!If we decide to seek protectionItem 6 ExhibitsU } 0} $ }  } $ } U} $                          ARGOS THERAPEUTICS INC 10-Q 11/19/2018 Cash Flows'Nine Months Ended September 30,  ~  ~    (in thousands)     ' Net cash (used in) provided by:         Operating activities ~   ~ * Investing activities~ n~  Financing activities~ e~ i/'Effect of exchange rate changes on cash~ &~ 0(Net increase (decrease) in cash and cash~ V~ Ž equivalents$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/4~r/=PF0*8X> @Z       l  m  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)Item 6 ExhibitsU } $ } $} y<      ARGOS THERAPEUTICS INC 10-Q 11/19/2018kcIf we decide to seek protection under the bankruptcy laws, and if we decide to wind down the compan ?7/the timing, duration, and cost of the wind-down  ) !and potential bankruptcy process;  ?/ 'our ability to effectuate transactions,  2 *if any, in the course of our wind-down and  , $potential bankruptcy proceeding, and  : 2the value to be realized in any such transactions; ?.&our ability to obtain bankruptcy court0(approval with respect to motions we file.&in the potential bankruptcy proceeding2*and the impact of bankruptcy court rulingson the case in general; ?/'motions and other papers filed by third-%parties in the bankruptcy proceeding,.&and the bankruptcy court?s reaction to the same; and ?.&our ability to conclude the bankruptcy0(proceeding through a plan of liquidationor other means.$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/B X=1%4HgI7=PF0*8X> @ l  UG=C  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??ARGOS THERAPEUTICS INC No changesTABLE OF CONTENTS Balance SheetIncome StatementIncome Statement (1) Cash Flows!Recently Adopted Accounting Sta!Recently Adopted Accounting (1)!2 Fair Value of Financial Instr!2 Fair Value of Financial I (1)!2 Fair Value of Financial I (2)!2 Fair Value of Financial I (3)!2 Fair Value of Financial I (4)!4 Property and Equipment and As!4 Property and Equipment an (1)!6 Notes Payable and Gain on Ear!2014 Stock Incentive Plan and 2!2014 Stock Incentive Plan a (1)!Valuation Assumptions for Stock 9 Warrants9 Warrants (1)9 Warrants (2)12 Net Loss Per Share12 Net Loss Per Share (1)!Comparison of the Three and Nin!Research and Development ExpensCash Flows (1)!If we decide to seek protectionU } I } $ } U5 U     ARGOS THERAPEUTICS INC 10-Q 11/19/2018Item 6. ExhibitsExhibitDescription of Exhibit Number    10.1* 1 )Retention Agreement, dated July 20, 2018,  1 )by and between the Registrant and Jeffrey   D. Abbey 10.2*1)Retention Agreement, dated July 20, 2018,1)by and between the Registrant and Richard Katz 10.3*1)Retention Agreement, dated July 20, 2018,1)by and between the Registrant and Charles Nicolette 10.4*/'Release of Claims Agreement, dated July/'20, 2018, by and between the Registrantand Jeffrey D. Abbey 10.5*/'Release of Claims Agreement, dated July/'20, 2018, by and between the Registrantand Richard Katz 10.6*/'Release of Claims Agreement, dated JulyDlxl+V*g?|O+X4e !"#$%&'()*+,-./0123456789:;<=>?  / '20, 2018, by and between the Registrant!!!and Charles Nicolette""" #10.7*#.#&Consulting Agreement, dated August 29,$$/$'2018, by and between the Registrant and%%%Jeffrey D. Abbey&&& '10.8*'.'&Consulting Agreement, dated August 29,((/('2018, by and between the Registrant and))) Richard Katz*** +10.9*+.+&Consulting Agreement, dated August 29,,,/,'2018, by and between the Registrant and---Charles Nicolette... /31.1*/,/$Certification of principal executive00.0&officer pursuant to Rules 13a-14(a) or1101(15d-14(a) of the Securities Exchange Act22/2'of 1934, as adopted pursuant to Section33-3%302 of the Sarbanes-Oxley Act of 2002444 531.2*5,5$Certification of principal financial66.6&officer pursuant to Rules 13a-14(a) or7707(15d-14(a) of the Securities Exchange Act88/8'of 1934, as adopted pursuant to Section99-9%302 of the Sarbanes-Oxley Act of 2002::: ;32.1#;4;,Certifications pursuant to 18 U.S.C. Section<<0<(1350, as adopted pursuant to Section 906==1=)of The Sarbanes-Oxley Act of 2002, by the>>0>(Registrant?s principal executive officer??'?and principal financial officerD l|X fx)8WSsOa@ABCDEFGHIJKLMNOPQRST@@@A101.INSAAXBRL Instance DocumentBBBC101.SCHC/C'XBRL Taxonomy Extension Schema DocumentDDDE101.CALE4E,XBRL Taxonomy Extension Calculation LinkbaseFFFDocumentGGGH101.DEFH3H+XBRL Taxonomy Extension Definition LinkbaseIIIDocumentJJJK101.LABK.K&XBRL Taxonomy Extension Label LinkbaseLLLDocumentMMMN101.PREN,N$XBRL Taxonomy Extension PresentationOOOLinkbase DocumentPQ$R____________________________1S)Created by Morningstar Document Research.0T(http://documentresearch.morningstar.com/.w%~Zc7wO=PF0*8X> @TTSSRR Root Entry FBook    !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}~