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#܈ ~~<#܈ ~~3#܈ ~~4#܈ ~~7#܈ ~~"؈ ~~83ffff̙̙3f3fff3f3f33333f33RARGOS THERAPEUTICS INC&#Securities registered pursuant 3Table of ContentskNOur Development Programs|oDevelopment StatusځNO TITLE&nDescription and Development Sta&If we fail to establish commerc&eItem 5 Market for Registrant s %Item 5 Market for Registra (1)&Consolidated Statements of Oper& Consolidated Balance Sheet Data&$Liability for Warrants and the !:ShareBased Compensation&LResults of Operations YearOverY&o}Research and Development ExpensH Cash Flows&,Contractual Obligations and Com MANAGEMENT# EXHIBIT INDEXcEXHIBIT INDEX (1)?EXHIBIT INDEX (2)+vEXHIBIT INDEX (3)& INDEX TO CONSOLIDATED FINANCIAL"+CONSOLIDATED BALANCE SHEETS&8CONSOLIDATED STATEMENTS OF (1)&CONSOLIDATED STATEMENTS OF COMP& CONSOLIDATED STATEMENTS OF CHAN&KCONSOLIDATED STATEMENTS OF CASH&@2 Fair Value of Financial Instr&v2 Fair Value of Financial I (1)&j2 Fair Value of Financial I (2)&2 Fair Value of Financial I (3)&2 Fair Value of Financial I (4)3 Property and Equipment#3 Property and Equipment (1)"4 Income Taxes94 Income Taxes (1)Y4 Income Taxes (2)l5 Notes Payable Facility Lease Obligation Capital Lease ObligationsX 9 Warrants 9 Warrants (1)q9 Warrants (2)&l2014 Stock Incentive Plan and 2&Valuation Assumptions for Stock&Valuation Assumptions for S (1)&Other Information for Stock Opt&1Other Information for Stock (1)JG12 CommitmentsV14 Net Loss Per Share k14 Net Loss Per Share (1)&|15 Selected Quarterly Data unau&z15 Selected Quarterly Data (1)& Deferred Tax Asset Valuation Al&Counterpart Signature Page to RYLEASE TERM SHEETLEASE TERM SHEET (1)-LEASE TERM SHEET (2)LEASE TERM SHEET (3)B9 SERVICESPARKINGREPAIRSUBASE RENT SCHEDULEo31 Calculation Formulas"31 Calculation Formulas (1)&ITEMIZED INVENTORY OF HAZARDOUSڣ Exhibit 10442Exhibit 1044 (1)&%11 THIS ITEM ONLY APPLIES TO AM&11 THIS ITEM ONLY APPLIES T (1)&11 THIS ITEM ONLY APPLIES T (2)&BEGINNING WITH THE EFFECTIVE DA&BEGINNING WITH THE EFFECTIV (1)&{%BEGINNING WITH THE EFFECTIV (2)&N5BEGINNING WITH THE EFFECTIV (3)&EBEGINNING WITH THE EFFECTIV (4)&UBEGINNING WITH THE EFFECTIV (5)&fBEGINNING WITH THE EFFECTIV (6)&wBEGINNING WITH THE EFFECTIV (7)&bBEGINNING WITH THE EFFECTIV (8)&ARTICLE G2 KEY PERSONNEL HHSAR &HNOTE When additional funding is&ARTICLE H6 CONTINUED BAN ON FUN&8ARTICLE H8 PRIVACY ACT HHSAR 35&CERTIFICATIONS PURSUANT TO 18 U&CERTIFICATIONS PURSUANT TO (1) l  >#  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??U!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0}       ARGOS THERAPEUTICS INC 10-K 03/16/2017 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  2  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INCTable of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0} 1      ARGOS THERAPEUTICS INC 10-K 03/16/2017C;Securities registered pursuant to Section 12(b) of the Act:Title of Each Class1)Name of Each Exchange on Which Registered    0 (Common Stock, par value $0.001 per share NASDAQ Global Market  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@eYMAi]Q)=PF0*8X> @ l  5GM  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Our Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } :}  5     ARGOS THERAPEUTICS INC 10-K 03/16/2017Table of Contents PART I Item 1. Business~  Item 1A.  Risk Factors~  Item 1B.! Unresolved Staff Comments~  Item 2.  Properties~ Item 3.Legal Proceedings~ Item 4.Mine Safety Disclosures~ PART IIItem 5..&Market for Registrant?s Common Equity,~ .&Related Stockholder Matters and Issuer&Purchases of Equity SecuritiesItem 6.Selected Financial Data~ Item 7.,$Management?s Discussion and Analysis~ 80of Financial Condition and Results of OperationsItem 7A.0(Quantitative and Qualitative Disclosures~ VAbout Market RiskItem 8..&Financial Statements and Supplementary~ Z DataItem 9.5-Changes in and Disagreements with Accountants~ Z.&on Accounting and Financial DisclosureItem 9A.Controls and Procedures~ ZItem 9B.Other Information~ ZDlwkG5H TK1} !"#$%&'()*+,-./01234 !PART III"Item 10.3"+Directors, Executive Officers and Corporate~ "^## Governance$Item 11.$Executive Compensation~ $b%Item 12.0%(Security Ownership of Certain Beneficial~ %b&5&-Owners and Management and Related Stockholder''Matters(Item 13.7(/Certain Relationships and Related Transactions,~ (b)!)and Director Independence*Item 14..*&Principal Accountant Fees and Services~ *b++,PART IV-Item 15.2-*Exhibits and Financial Statement Schedules~ -b. Signatures.~ .f/ Schedule II/ /F- 3501$2____________________________13)Created by Morningstar Document Research.04(http://documentresearch.morningstar.com/.e!g mZ^=PF0*8X> @:443322,,!!  l  1gn  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0} $ } y#} $ } $}  @ 1     ARGOS THERAPEUTICS INC 10-K 03/16/2017 Our Development ProgramsProduct CandidatePrimary IndicationStatus Rocapuldencel-T  mRCC  ?1 )Ongoing ADAPT trial; enrollment completed     = 5in July 2015; IDMC recommended study discontinuation;     0 (data analysis ongoing with plans to meet     1 )with the FDA and determine the next steps     ' for the rocapuldencel-T program ?6.Planned Phase 2 clinical trial, in combination-%with a checkpoint inhibitor, expected0(to open for enrollment in the first half/'of 2017 subject to the ongoing analysis4,of data from the ADAPT trial and discussions5-with the FDA , as well as obtaining financing'necessary to support such trial%Early stage RCC (neoadjuvant) ?,$Ongoing investigator-initiated Phase3+2 clinical trial; preliminary data expected"in the second half of 2017Advanced solid tumors ?,$Planned investigator-initiated Phase3+2 clinical trial in muscle invasive bladder/'cancer, expected to open for enrollment80in the first half of 2017 subject to the ongoing1)analysis of data from the ADAPT trial andDb l|pdzm6Zkv !"#$%&'()*+,-./0     7 /discussions with the FDA , as well as obtaining!!!!!1!)financing necessary to support such trial""""""#AGS-004# #HIV# #?6#.Ongoing second stage of investigator-initiated$$$$$5$-clinical trial in combination with vorinostat%%%%%%for HIV eradication&&&&&&'''' '?,'$Planned investigator-initiated Phase(((((4(,2 clinical trial for long-term viral control))))).)&in pediatric patients expected in 2017*****0*(provided that results from ongoing trial+++++++#in adult HIV patients are favorable,-$.____________________________1/)Created by Morningstar Document Research.00(http://documentresearch.morningstar.com/&@O7Vx =PF0*8X> @"00//.. l  ݀  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development Programs NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I } $ } } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017Development StatusOutcome(N=21)  Median OS (1)   30.2 months Median PFS (2)   11.2 months Complete response (3)   0 patients Partial response (4)   9 patients Stable disease (5)   4 patientsImmune response1)CD8+ CD28+ memory T-cells correlated with4,OS, PFS and reduced metastatic tumor burden;5-IL-2 and interferon- g (IFN- g ) recovery$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0vj!e#+=PF0*8X> @           l   ͕  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } U} :      ARGOS THERAPEUTICS INC 10-K 03/16/2017NO TITLE~ 1)Overall survival, or OS, is the length of 0 (time from the initiation of treatment to  the patient?s death.~ 1 )Progression free survival, or PFS, is the 0 (length of time from treatment initiation 1 )to the worsening of the patient?s diseaseor the patient?s death.~ .&Complete response is the disappearance7/of all measurable target lesions and non-targetlesions.~ 80Partial response is the overall tumor regression2*based on a decrease of at least 30% in the/'overall amount of measurable tumor mass0(in the body and improvement or no changein non-target lesions.~ 5-Stable disease is neither sufficient decrease6.in tumor size to qualify as a partial response0(nor sufficient increase in tumor size to'qualify as disease progression.$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/D;lt1BK+` e%=PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $ } $} 1      ARGOS THERAPEUTICS INC 10-K 03/16/2017*"Description and Development Status ?-%a phase 2b clinical trial of AGS-004;  ?1 )a phase 2a clinical trial of AGS-004; and  ?, $a phase 1 clinical trial of AGS-004.  $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$p,~rfZyma9=PF0*8X> @  l  -  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} > -     ARGOS THERAPEUTICS INC 10-K 03/16/2017kcIf we fail to establish commercial manufacturing operations in compliance with regulatory requireme ?2*demonstrate that the disposable components / 'and sterilization and packaging methods 6 .used in the manufacturing process are suitable . &for use in manufacturing in accordance 1 )with current good manufacturing practice, 3 +or cGMP, and current Good Tissue Practices,or cGTP; ?/'build and validate processing equipment)!that complies with cGMP and cGTP; ?1)equip a commercial manufacturing facility2*to accommodate the automated manufacturingprocess; ?5-perform process testing with final equipment,-%disposable components and reagents to1)demonstrate that the methods are suitable/'for use in cGMP and cGTP manufacturing; ?1)demonstrate consistency and repeatability0(of the automated manufacturing processes/'in the production of rocapuldencel-T inDjl=1%QoWB" F !"#$%&'()*+, < 4our new facility to fully validate the manufacturing!6!.and control process using the actual automated"&"cGMP processing equipment; and## $?9$1demonstrate comparability between rocapuldencel-T%2%*that we produce using our manual processes&.&&and rocapuldencel-T produced using the''automated processes.()$*____________________________1+)Created by Morningstar Document Research.0,(http://documentresearch.morningstar.com/n8 V*=PF0*8X> @,,++** l  0  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } $                     ARGOS THERAPEUTICS INC 10-K 03/16/2017jbItem 5. Market for Registrant s Common Equity, Related Stockholder Matters and Issuer Purchases of~    High  Low  First quarter  L!@   HzG?  Second quarter  q= ף+@   @   Third quarter  HzG@   @  Fourth quarter  ffffff@    @ $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/**h>2&Di=PF0*8X> @r           l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s !Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } $                     ARGOS THERAPEUTICS INC 10-K 03/16/2017jbItem 5. Market for Registrant s Common Equity, Related Stockholder Matters and Issuer Purchases of~ ~   High  Low  First quarter  Q%@   q= ףp@  Second quarter  HzG#@    ףp= @   Third quarter  Q@   q= ףp@  Fourth quarter  ffffff@   (\? $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/**h>2&Di=PF0*8X> @r           l  +   dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 8} $ } } $ } }  $ } } $ } } $ } } $ +     ARGOS THERAPEUTICS INC 10-K 03/16/20173+Consolidated Statements of Operations Data:Year Ended December 31,  ~ r ~ v ~ z ~ ~ ~  Revenue ~   ~    ~ |x  ~   ~ 9  Operating expenses:                     Research and development  ~ ?3   ~ M   ~     ~    ~ "  " General and administrative  ~ v|v   ~    ~     ~    ~ b 0(Impairment of property and equipment (1) ? ?    ?   ?~ ;-Operating loss~ &~ v9  ~    ~ > ~ {Other income (expense):     Interest income~ G~ Bp  ~  R  ~ ~ Interest expense~ %~ ~  ~  l  ~ Fu~ 1)Change in fair value of warrant liability~ ,~ b    ?   ?~ {=~ #Derivative (expense) income~ A? ?    ?   ? ?Investment tax credits~ `* ?  ~  2   ? ? Other expense~ *~   ~    ~ F~ F#Other (expense) income, net~ V|~ "  ~  :  ~ "8w~ Net loss~ z~ K  ~  vJ  ~ ^E+~ k[/'Net loss attributable to noncontrolling ? ?    ?   ? ?interest4,Net loss attributable to Argos Therapeutics,~ z~ K  ~  vJ  ~ ^E+~ k[ Inc.5-Accretion of redeemable convertible preferred~ ֍~ Q#  ~  P   ? ? stockDlui]Qj@,}jI; !"#$%&'()*7 /Less: Preferred stock dividend due to exchanges   ?   ~ 0}    ?    ?    ? !of preferred shares4",Net loss attributable to common stockholders"~ "Nok""~ "rt"" ~ " " " ~ "^E+""~ "k["/#'Basic and diluted net loss attributable## ףp=JK###p= kb## # (\# # #HzG ###(\#($ to common stockholders per share1%)Basic and diluted weighted average shares%%~ % %%%~ %%% % ~ %  $% % %~ %v%%%~ %Zy%& outstanding'$(____________________________1))Created by Morningstar Document Research.0*(http://documentresearch.morningstar.com/6ZC7=PF0*8X> @**))((###### ####"""""" """"         l  ##  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0.} $ } } $ } }  $ } } $ } } $ } } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017( Consolidated Balance Sheet Data:As of December 31,  ~ r ~ v ~ z ~ ~ ~ - %Cash, cash equivalents and short-term ~ b  ~ Z2   ~ h   ~ e  ~ =    investments  Total assets  ~    ~ ~0    ~ zX   ~ df   ~ , # Total long-term liabilities  ~    ~ =g   ~    ~ s-    ~ j h .&Redeemable convertible preferred stock~ ʄ~ V    ?   ? ?,$Total stockholders? (deficit) equity~ ~   ~  y  ~ F~ ~x$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.A th\&_6 =PF0*8X> @r         l  29  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet DataShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } U5} $ } $} $} $ } $} $                             ARGOS THERAPEUTICS INC 10-K 03/16/2017D<Liability for Warrants and the Related Changes in Fair ValueAugust 2, 2016December 31, 2016     " Exercise price of warrants  @   @ . &Closing underlying stock price on date  (\@   @   of valuation' Expected stock price volatility  ~ R %  ~ R % Expected life (in years)~ RQ@Risk-free interest rateQ? %zG? %Expected dividend yield~  %~  %-%Valuation per common share underlying(\ @(\@ each warrant3+Total liability for warrants on the balance~ :~ 9 sheet4,Decrease in fair value during the year ended~ {=December 31, 2016$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/:; dXL@/tZ:)~rJ=PF0*8X> @r     l   @2    l  "I{"|  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 1} $ }  } $ }  }  $ }  } $ }  } $} $ }  } $ }  } $ }  } $ }  } $ "!!!!!!!!!! ! ! ! ! !!!!!!!!!!!!!!!!!!!ARGOS THERAPEUTICS INC 10-K 03/16/201780Results of Operations Year-Over-Year Comparisons Year Ended ~    % Year Ended~  %    December 31,           December 31,  ~ ~ ~   Change  Change ~ z ~ ~  Change  Change   (in thousands) Revenue ~   ~   ~     T@ % ~   ~   ~ B    33333sR % Operating expenses:                                 Research and development~ ~ V  ~    fffff&C %~ ~ ~ 333333B@  %"General and administrative~ ~   ~  1  ~ v %~ ^~ ~ %<@  %,$Impairment of property and equipment ?~    ~      * ? ? ? *        Total operating expenses~ u~ @  ~  f  ; %~ JM~ u~ b(̌A@  %      Loss from operations~ r~   ~  J<  fffff; %~ ~ r~ C@  %      Interest income~ f~   ~    ~  %~ ~ f~ ZYO  %Interest expense~ ~ F  ~    5 %~ r~ ~ 2YY@  %1)Change in fair value of warrant liability ?~   ~     * ? ? ? * Investment tax credits ? ?    ?   *~ 6 ?~  *  Other expense~ ~   ~     *~ ~ ~ " *       Net loss~ no~ r ~  T  = %~ ~ no~ Vfffff&D@  %$____________________________D!lpdXL_FBp Jk !!!1 )Created by Morningstar Document Research.0!(http://documentresearch.morningstar.com/=PF0*8X> @ !!                    l  [  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 1} $ } U} $ } U}  $ } U} $                            ARGOS THERAPEUTICS INC 10-K 03/16/2017)!Research and Development ExpensesYear Ended December 31,  ~ z ~ ~ ~    (in thousands)/ 'Direct research and development expense              by program: Rocapuldencel-T ~   ~ _  ~ ^ AGS-004~ ~   ~  *  Other~ ~   ~  2 -%Total direct research and development~ ~ d  ~   program expense,$Commercial manufacturing development~ ~   ~  "5 1)Indirect research and development expense~ ~ L  ~  p .&Total research and development expense~ ~  ~  V $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/8 sg[ -5j=PF0*8X> @r          l  G  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0} $ }  } $ }  }  $ }  } $                        ARGOS THERAPEUTICS INC 10-K 03/16/2017 Cash FlowsYear Ended December 31,  ~ z ~ ~ ~    (in thousands)' Net cash (used in) provided by:             Operating activities ~ =  ~ F  ~ n  Investing activities  ~ N   ~ n   ~ &  Financing activities~ z~ I  ~  6 /'Effect of exchange rate changes on cash~ ~   ~   0(Net increase (decrease) in cash and cash~ Z=~  ~  j  equivalents$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0~r7^)l`8=PF0*8X> @r          l  #  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 8} $ }  } $ } U}  $ } } $ }  } $ }  } $ #     ARGOS THERAPEUTICS INC 10-K 03/16/2017/'Contractual Obligations and CommitmentsPayments Due by Period   Total   Less Than   1-3 Years   3-5 Years   More Than       1 Year          5 Years0 (Operating leases for existing facilities ~   ~   ~    $?   $?   and equipment1 )Facility lease obligation for Centerpoint  ~ &T   ~     ~    ~    ~ $ facility/'Notes payable to Horizon Technology and~ ~    ~     ? ?Fortress Credit7/Interest on notes payable to Horizon Technology~ $~ V  ~      ? ?and Fortress Credit/'Final payment to Horizon Technology and~  ?  ~     ? ?Fortress Credit3+Note payable to Medinet, including interest~ t ?  ~  t   ? ?!Capital lease obligations~ V?~ .  ~  ^   ~ ^ ~ r /'Other notes payable, including interest~ ~ N  ~  B   ? ?.&Amount due under development agreement~ ~ 9  ~  nK   ? ? with Invetech.&Amount due under development agreement~ >~ >    ?   ? ?with Saint Gobain-%Purchase obligation with Saint-Gobain~ 6~ 6    ?   ? ? Total~ ~  ~    ~  ~ ED&lymaUn[Gj<iAr !"$ ____________________________1!)Created by Morningstar Document Research.0"(http://documentresearch.morningstar.com/ (=PF0*8X> @""!!             l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } !} } $4      ARGOS THERAPEUTICS INC 10-K 03/16/2017 MANAGEMENT Name AgePosition       Jeffrey D. Abbey~ . &President, Chief Executive Officer and   Director# Charles A. Nicolette, Ph.D.~ 3 +Chief Scientific Officer and Vice President#of Research and DevelopmentRichard D. Katz, M.D.~ 2*Vice President and Chief Financial Officer!Lee F. Allen, M.D., Ph.D.~ Chief Medical OfficerLori R. Harrelson~ !Vice President of Finance Joan C. Winterbottom (1)~ %Chief Human Resources Officer$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/4)~r?o_ `TH =PF0*8X> @ l  |!b7   dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENTEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I } : |     ARGOS THERAPEUTICS INC 10-K 03/16/2017 EXHIBIT INDEXExhibitDescription of Exhibit Number   @- %Restated Certificate of Incorporation / 'of the Registrant (filed as Exhibit 3.1 2 *to the Registrant?s Current Report on Form0(8-K (File No. 001-35443) on February 18,2*2014 and incorporated herein by reference) @5-Amended and Restated Bylaws of the Registrant1)(filed as Exhibit 3.2 to the Registrant?s7/Current Report on Form 8-K (File No. 001-35443)4,on February 18, 2014 and incorporated herein by reference)ffffff@-%Specimen Stock Certificate evidencing4,the shares of common stock (filed as Exhibit2*4.1 to Amendment No. 1 to the Registrant?s0(Registration Statement on Form S-1 (File/'No. 333-193137) on January 21, 2014 and)!incorporated herein by reference)@/'Fifth Amended and Restated Registration/'Rights Agreement, dated as of August 9,D?l{o:(L g&v^U !"#$%&'()*+,-./0123456789:;<=>? 6 .2013 (filed as Exhibit 4.2 to the Registrant?s!0!(Registration Statement on Form S-1 (File"0"(No. 333-193137) on December 30, 2013 and#)#!incorporated herein by reference)$$ %4.3*5%-Amendment No. 1 to Fifth Amended and Restated&,&$Registration Rights Agreement, dated'5'-September 29, 2014 (amending the Registrant?s(/('Fifth Amended and Restated Registration)/)'Rights Agreement, dated August 9, 2013)**+@5+-Amendment No. 2 to Fifth Amended and Restated,,,$Registration Rights Agreement, dated-1-)July 14, 2016 (amending the Registrant ?s./.'Fifth Amended and Restated Registration///'Rights Agreement, dated August 9, 2013)010)(filed as Exhibit 4.2 to the Registrant?s1/1'Quarterly Report on Form 10-Q (File No.262.001-35443) on August 15, 2016 and incorporated33herein by reference)44 54.5*55-Amendment No. 3 to Fifth Amended and Restated6,6$Registration Rights Agreement, dated707(March 6, 2017 (amending the Registrant?s8/8'Fifth Amended and Restated Registration9/9'Rights Agreement, dated August 9, 2013)::;ffffff@2;*Form of Warrant Agreement by and among the<8<0Company and Computershare Inc. and Computershare=1=)Trust Company, N.A. (filed as Exhibit 4.1>2>*to the Registrant?s Current Report on Form?4?,8-K on July 29, 2016 and incorporated hereinD lz:d>C}Q9t5N @ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_@@ by reference)AA B10.1+4B,2008 Stock Incentive Plan, as amended (filedC8C0as Exhibit 10.2 to the Registrant?s RegistrationD3D+Statement on Form S-1 (File No. 333-193137)E4E,on December 30, 2013 and incorporated hereinFF by reference)GG H10.2+0H(Form of Incentive Stock Option AgreementI.I&under 2008 Stock Incentive Plan (filedJ8J0as Exhibit 10.3 to the Registrant?s RegistrationK3K+Statement on Form S-1 (File No. 333-193137)L4L,on December 30, 2013 and incorporated hereinMM by reference)NN O10.3+3O+Form of Nonstatutory Stock Option AgreementP.P&under 2008 Stock Incentive Plan (filedQ8Q0as Exhibit 10.4 to the Registrant?s RegistrationR3R+Statement on Form S-1 (File No. 333-193137)S4S,on December 30, 2013 and incorporated hereinTT by reference)UU V10.4+3V+2014 Stock Incentive Plan (filed as ExhibitW3W+10.5 to Amendment No. 1 to the Registrant?sX0X(Registration Statement on Form S-1 (FileY/Y'No. 333-193137) on January 21, 2014 andZ)Z!incorporated herein by reference)[[ \10.5+0\(Form of Incentive Stock Option Agreement].]&under 2014 Stock Incentive Plan (filed^1^)as Exhibit 10.6 to Amendment No. 1 to the_+_#Registrant?s Registration StatementD lz2n)`YeMC o`abcdefghijklmnopqrstuvwxyz{`4`,on Form S-1 (File No. 333-193137) on Januarya6a.21, 2014 and incorporated herein by reference)bb c10.6+3c+Form of Nonstatutory Stock Option Agreementd.d&under 2014 Stock Incentive Plan (filede1e)as Exhibit 10.7 to Amendment No. 1 to thef+f#Registrant?s Registration Statementg4g,on Form S-1 (File No. 333-193137) on Januaryh6h.21, 2014 and incorporated herein by reference)iijffffff%@0j(Lease Agreement, dated as of January 16,k1k)2001, between the Registrant and HCP MOP,l0l(as amended (filed as Exhibit 10.8 to them+m#Registrant?s Registration Statementn5n-on Form S-1 (File No. 333-193137) on Decembero6o.30, 2013 and incorporated herein by reference)pp q10.8+3q+Employment Agreement between the Registrantr/r'and Jeffrey D. Abbey, dated December 9,s7s/2013 (filed as Exhibit 10.9 to the Registrant?st0t(Registration Statement on Form S-1 (Fileu0u(No. 333-193137) on December 30, 2013 andv)v!incorporated herein by reference)wx$y____________________________1z)Created by Morningstar Document Research.0{(http://documentresearch.morningstar.com/<Kv^\t3s-GvN=PF0*8X> @{{zzyy l  {",=7h?  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I } = {     ARGOS THERAPEUTICS INC 10-K 03/16/2017 EXHIBIT INDEXExhibitDescription of Exhibit Number 10.9+3 +Employment Agreement between the Registrant 0 (and Charles A. Nicolette, dated December ; 39, 2013 (filed as Exhibit 10.10 to the Registrant?s 0 (Registration Statement on Form S-1 (File0(No. 333-193137) on December 30, 2013 and)!incorporated herein by reference)10.10 +3+Employment Agreement between the Registrant0(and Lori R. Harrelson, dated December 9,802013 (filed as Exhibit 10.12 to the Registrant?s0(Registration Statement on Form S-1 (File0(No. 333-193137) on December 30, 2013 and)!incorporated herein by reference)10.11 +/'Employment Agreement by and between the4,Registrant and Dr. Lee Allen, dated December:24, 2015 (filed as Exhibit 10.1 to the Registrant?s0(Quarterly Report on Form 10-Q on May 16,2*2016 and incorporated herein by reference)10.12 +1)Amended and Restated Employment Agreement80between the Registrant and Joan C. Winterbottom,Dl{o:(U:r2W s !"#$%&'()*+,-./0123456789:;<=>? 2 *dated June 10, 2016 (filed as Exhibit 10.1!/!'to the Registrant?s Quarterly Report on"5"-Form 10-Q on August 15, 2016 and incorporated##herein by reference)$$%10.13 +3%+Employment Agreement between the Registrant&6&.and Richard D. Katz, dated July 1, 2016 (filed'3'+as Exhibit 10.1 to the Registrant?s Current(/('Report on Form 8-K (File No. 001-35443))0)(on July 11, 2016 and incorporated herein** by reference)++,HzG$@1,)Form of Indemnification Agreement between-6-.the Registrant and each director and executive.;.3officer (filed as Exhibit 10.14 to the Registrant?s/0/(Registration Statement on Form S-1 (File000(No. 333-193137) on December 30, 2013 and1)1!incorporated herein by reference)22310.15 ?-3%Contract No. HHSN266200600019C, dated4840September 30, 2006, by and among the Registrant,515)the National Institutes of Health and the656-National Institutes of Allergy and Infectious7.7&Diseases, as amended (filed as Exhibit8.8&10.15 to the Registrant?s Registration939+Statement on Form S-1 (File No. 333-193137):4:,on December 30, 2013 and incorporated herein;; by reference)<<=10.16 ?0=(License Agreement, dated August 9, 2013,>7>/by and between the Registrant and Pharmstandard?8?0S.A. (filed as Exhibit 10.16 to the Registrant?sD l:f#g Oz2n0l%@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_@0@(Registration Statement on Form S-1 (FileA0A(No. 333-193137) on December 30, 2013 andB)B!incorporated herein by reference)CCD10.17 ?/D'License Agreement, dated July 31, 2013,E/E'by and between the Registrant and GreenF8F0Cross Corp. (filed as Exhibit 10.17 to AmendmentG.G&No. 1 to the Registrant?s RegistrationH3H+Statement on Form S-1 (File No. 333-193137)I3I+on January 21, 2014 and incorporated hereinJJ by reference)KKL10.18 ?/L'License Agreement, dated July 28, 2011,M1M)by and between the Registrant and CelldexN2N*Therapeutics, Inc. (filed as Exhibit 10.18O2O*to the Registrant?s Registration StatementP5P-on Form S-1 (File No. 333-193137) on DecemberQ6Q.30, 2013 and incorporated herein by reference)RRS10.19 ?2S*License Agreement, dated January 10, 2000,T:T2by and between the Registrant and Duke University,U1U)as amended (filed as Exhibit 10.19 to theV+V#Registrant?s Registration StatementW5W-on Form S-1 (File No. 333-193137) on DecemberX6X.30, 2013 and incorporated herein by reference)YYZffffff$@1Z)Acknowledgement Agreement, dated November[2[*4, 2013, by and between the Registrant and\/\'Pharmstandard International S.A. (filed]2]*as Exhibit 10.20 to Amendment No. 1 to the^+^#Registrant?s Registration Statement_4_,on Form S-1 (File No. 333-193137) on JanuaryD lG/b$yaVj _x9`abcdefghijklmnopqrstuvwxyz`6`.21, 2014 and incorporated herein by reference)aab10.21+0b(2014 Employee Stock Purchase Plan (filedc2c*as Exhibit 10.21 to Amendment No. 1 to thed+d#Registrant?s Registration Statemente4e,on Form S-1 (File No. 333-193137) on Januaryf6f.21, 2014 and incorporated herein by reference)gghq= ףp$@/h'Lease Agreement, dated August 18, 2014,i4i,by and between by and between the Registrantj1j)and TKC LXXII, LLC (filed as Exhibit 10.1k2k*to the Registrant?s Current Report on Forml/l'8-K on August 22, 2014 and incorporatedmmherein by reference)nno(\u$@2o*Venture Loan and Security Agreement, datedp9p1September 29, 2014, by and between the Registrantq2q*and Horizon Technology Finance Corporationr4r,and Fortress Credit Co LLC (filed as Exhibits/s'10.1 to the Registrant?s Current Reportt:t2on Form 8-K on September 30, 2014 and incorporateduuherein by reference)vw$x____________________________1y)Created by Morningstar Document Research.0z(http://documentresearch.morningstar.com/:\U=s1fX=PF0*8X> @zzyyxx l   S^gkru  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I } >      ARGOS THERAPEUTICS INC 10-K 03/16/2017 EXHIBIT INDEXExhibitDescription of Exhibit Number   {Gz$@1 )Form of Warrant to Purchase Common Stock, 8 0issued to Horizon Technology Finance Corporation / 'on September 29, 2014 (filed as Exhibit/'10.2 to the Registrant?s Current Report:2on Form 8-K on September 30, 2014 and incorporatedherein by reference)$@1)Form of Warrant to Purchase Common Stock,2*issued to Drawbridge Special Opportunities7/Fund LP on September 29, 2014 (filed as Exhibit/'10.3 to the Registrant?s Current Report:2on Form 8-K on September 30, 2014 and incorporatedherein by reference)Q$@,$Development Agreement, dated October/'29, 2014, by and between the Registrant3+and Invetech Lty Ltd (filed as Exhibit 10.5/'to the Registrant?s Quarterly Report on7/Form 10-Q on November 14, 2014 and incorporatedherein by reference)D6l{o:(Bu.fW !"#$%&'()*+,-./0123456789:;<=>? 10.27?, $Development Agreement, dated January!2!*5, 2015, by and between the Registrant and"5"-Saint-Gobain Performance Plastics Corporation#3#+(filed as Exhibit 10.27 to the Registrant?s$4$,Annual Report on Form 10-K on March 31, 2015%-%%and incorporated herein by reference)&&'10.28?*2'*Second Amendment to Development Agreement,(3(+dated as of December 23, 2016 amending that)3)+certain Development Agreement dated January*:*25, 2015 entered into by and between the Registrant+-+%and Saint-Gobain Performance Plastics,, Corporation--.Gz$@3.+Purchase and Sale Agreement, dated February///'16, 2015, by and between the Registrant010)and TKC LXXII, LLC (filed as Exhibit 10.1121*to the Registrant?s Current Report on Form212)8-K on February 20, 2015 and incorporated33 by reference)445$@-5%Novated, Amended and Restated License626*Agreement effective as of October 1, 2014,717)by and between the Registrant and MEDcell828*Co., Ltd., as amended on December 28, 2015949,and January 28, 2016 (filed as Exhibit 10.29:1:)to the Registrant?s Annual Report on Form;/;'10-K on March 31, 2015 and incorporated<<herein by reference)==>Q$@0>(Modification No. 11, effective September?3?+18, 2014, to Contract No. HHSN266200600019CD l|7s[BB~YA{9uI1@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_@2@*dated September 30, 2006, by and among theA.A&Registrant, the National Institutes ofB5B-Health and the National Institutes of AllergyC2C*and Infectious Diseases, as amended (filedD5D-as Exhibit 10.1 to the Registrant?s QuarterlyE0E(Report on Form 10-Q on November 16, 2015F-F%and incorporated herein by reference)GGH10.32 ?/H'License Agreement, dated April 7, 2015,I/I'by and between the Registrant and LummyJ/J'(Hong Kong) Co., Ltd. (filed as ExhibitK1K)10.1 to the Registrant?s Quarterly ReportL5L-on Form 10-Q on May 15, 2015 and incorporatedMMherein by reference)NNO10.33 ?-O%Master Process Development and SupplyP.P&Agreement, dated December 22, 2015, byQ2Q*and between the Registrant and Cellscript,R RLLCSSTGz$@,T$Securities Purchase Agreement, datedU4U,March 4, 2016, by and between the RegistrantV.V&and the investors named therein (filedW3W+as Exhibit 10.1 to the Registrant?s CurrentX<X4Report on Form 8-K on March 7, 2016 and incorporatedYYherein by reference)ZZ[33333$@6[.Form of Common Stock Warrant (filed as Exhibit\/\'10.2 to the Registrant?s Current Report]5]-on Form 8-K on March 7, 2016 and incorporated^^herein by reference)__D l;t7[MXGx3`abcdefghijklmnopqrstuvwxyz{|}~`Q$@,`$Registration Rights Agreement, dateda4a,March 4, 2016, by and between the Registrantb.b&and the investors named therein (filedc3c+as Exhibit 10.3 to the Registrant?s Currentd<d4Report on Form 8-K on March 7, 2016 and incorporatedeeherein by reference)ffg= ףp$@2g*Sales Agreement, dated May 8, 2015, by andh5h-between the Registrant and Cowen and Company,i5i-LLC (filed as Exhibit 1.2 to the Registrant?sj1j)Registration Statement on Form S-3 on Mayk5k-8, 2015 and incorporated herein by reference)llm(\$@.m&Fifth Amendment to Lease Agreement andn7n/Third Amendment to Purchase and Sale Agreement,o6o.dated as of July 1, 2016 amending that certainp/p'Lease Agreement, dated August 18, 2014,q4q,by and between the Registrant and TKC LXXII,r9r1LLC and that certain Purchase and Sale Agreement,s/s'dated February 16, 2015, by and betweent0t(the Registrant and TKC LXXII, LLC (filedu5u-as Exhibit 10.3 to the Registrant?s Quarterlyv/v'Report on Form 10-Q (File No. 001-35443w2w*on August 15, 2016 and incorporated hereinxx by reference)yyzHz$@.z&Sixth Amendment to Lease Agreement and{8{0Fourth Amendment to Purchase and Sale Agreement,|/|'dated as of September 30, 2016 amending}2}*that certain Lease Agreement, dated August~/~'18, 2014, by and between the Registrant4,and TKC LXXII, LLC and that certain PurchaseD6 lz @ l  Y/y  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I } > Y     ARGOS THERAPEUTICS INC 10-K 03/16/2017 EXHIBIT INDEXExhibitDescription of Exhibit Number   10.40*0 (Lease Agreement, dated January 17, 2017, . &by and between Keystone-Centennial II,  LLC and RegistrantR$@/'Payoff Letter, entered into as of March/'3, 2017, among Argos Therapeutics, Inc.2*and the lenders under the Venture Loan and1)Security Agreement, dated as of September;329, 2014 (filed as Exhibit 10.1 to the Registrant?s3+Current Report on Form 8-K on March 6, 2017-%and incorporated herein by reference)ףp= $@4,Warrant issued to Horizon Technology Finance/'Corporation, dated March 3, 2017 (filed3+as Exhibit 10.2 to the Registrant?s Current<4Report on Form 8-K on March 6, 2017 and incorporatedherein by reference)\($@7/Warrant issued to Fortress Credit Opportunities1)V CLO Limited, dated March 3, 2017 (filed3+as Exhibit 10.3 to the Registrant?s CurrentDMl{o:(bJCx`H !"#$%&'()*+,-./0123456789:;<=>? < 4Report on Form 8-K on March 6, 2017 and incorporated!!herein by reference)""#10.44?*/#'Modification No. 13, effective June 29,$/$'2016, to Contract No. HHSN266200600019C%2%*dated September 30, 2006, by and among the&+&#Registrant, the National Institutes'0'(of Health and the National Institutes of(3(+Allergy and Infectious Diseases, as amended))*5@-*%Subsidiaries of the Registrant (filed+8+0as Exhibit 21.1 to the Registrant?s Registration,2,*Statement on Form S-1 on December 30, 2013---%and incorporated herein by reference).. /23.1*-/%Consent of PriceWaterhouseCoopers, an000(independent registered public accounting1 1firm22 331.1*,3$Certification of principal executive4.4&officer pursuant to Rules 13a-14(a) or505(15d-14(a) of the Securities Exchange Act6/6'of 1934, as adopted pursuant to Section7-7%302 of the Sarbanes-Oxley Act of 200288 931.2*,9$Certification of principal financial:.:&officer pursuant to Rules 13a-14(a) or;0;(15d-14(a) of the Securities Exchange Act</<'of 1934, as adopted pursuant to Section=-=%302 of the Sarbanes-Oxley Act of 2002>> ?32.1*4?,Certifications pursuant to 18 U.S.C. SectionDt lp*n.Ho/| @XXWWVV l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)CONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 2}       ARGOS THERAPEUTICS INC 10-K 03/16/20172*INDEX TO CONSOLIDATED FINANCIAL STATEMENTS  Page/ 'Report of Independent Registered Public F-2 Accounting Firm  * "Consolidated Financial Statements: #Consolidated Balance Sheets F-3-%Consolidated Statements of Operations F-40(Consolidated Statements of Comprehensive F-5 Loss-%Consolidated Statements of Changes in F-6&Stockholders? (Deficit) Equity-%Consolidated Statements of Cash Flows F-72*Notes to Consolidated Financial Statements F-8%Financial Statement Schedule:.&Schedule II ? Valuation and Qualifying F-35Accounts$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/@Dvj^R:o9f @ l  =E  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIAL!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 7} $ } y} $ } y} $ =                                 ARGOS THERAPEUTICS INC 10-K 03/16/2017#CONSOLIDATED BALANCE SHEETS December 31,  ~ ~ ~  Assets     Current assets        ! Cash and cash equivalents ~ "+x  ~ =   Short-term investments  ~ b:=    ? Restricted cash~ *- ?Assets held for sale ?~ 2XPrepaid expenses~ 6--~ *a9Other receivables~ j~ 2OTotal current assets~ >~ ; #Property and equipment, net~ ByQ~ f| Restricted cash ?~ *- Other assets~ 2~ 2 Total assets~ df~ ,/'Liabilities and Stockholders? (Deficit)EquityCurrent liabilitiesAccounts payable~ x~ 5HAccrued expenses~ j~ n/a( Current portion of notes payable~ T`~ bh1)Current portion of manufacturing research ?~ N"and development obligation4,Current portion of capital lease obligations ?~ D lyma15?>=.4=+D4 ! " # $ % & ' ( ) * + , - . / 0 1 2 3 4 5 6 7 8 9 : ; < ! Total current liabilities  ~ 7   ~ FL *!"Long-term portion of notes payable!!~ ! S!!!~ !Js!3"+Long-term portion of manufacturing research""~ "r"""~ "5""#and development obligation6$.Long-term portion of facility lease obligation$$~ $n{$$$~ $ $6%.Long-term portion of capital lease obligations%% %?%%%~ %Zu%&Deferred liabilities&&~ &D&&&~ &^&'Warrants'' '?'''~ '9'( Commitments(( (?((( (?(&)Stockholders? (deficit) equity))))))))3*+Preferred stock $0.001 par value; 5,000,000** *?*** *?*1+)shares authorized as of December 31, 20151,)and 2016; 0 shares issued and outstanding(- as of December 31, 2015 and 20162.*Common stock $0.001 par value; 200,000,000..~ .*R...~ ..1/)shares authorized as of December 31, 201520*and 2016; 21,641,509 and 41,263,179 shares11)issued and outstanding as of December 31,2 2015 and 2016,3$Accumulated other comprehensive loss33~ 3333~ 33"4Additional paid-in capital44~ 4N ;444~ 4P45Accumulated deficit55~ 56}555~ 5!ٰ5,6$Total stockholders? (deficit) equity66~ 6F666~ 6~x657-Total liabilities and stockholders? (deficit)7~ 7df77~ 7,78equity9$:____________________________1;)Created by Morningstar Document Research.0<(http://documentresearch.morningstar.com/>D 0wJ$euR"iK4i=PF0*8X> @r<<;;::7777     l  $  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 6} $ } } $ } }  $ } } $ $                                 ARGOS THERAPEUTICS INC 10-K 03/16/2017-%CONSOLIDATED STATEMENTS OF OPERATIONSYear Ended December 31,  ~ z ~ ~ ~  Revenue ~ |x  ~   ~ 9  Operating expenses             Research and development  ~     ~    ~ "  " General and administrative  ~     ~    ~ b ,$Impairment of property and equipment ? ?  ~  ;-  Total operating expenses~  ~ k  ~  9  Operating loss~ ~ >   ~  { Other income (expense)    Interest income~ R~   ~   Interest expense~ l~ Fu  ~   1)Change in fair value of warrant liability ? ?  ~  {= Investment tax credits~ 2 ?    ?  Other expense~ ~ F  ~  F #Other income (expense), net~ :~ "8w  ~   Net loss~ vJ~ ^E+  ~  k[ 5-Accretion of redeemable convertible preferred~ P ?    ?  stock4,Net loss attributable to common stockholders~ ~ ^E+ ~  k[ 4,Net loss attributable to common stockholders(\HzG   (\ $per share, basic and diluted,$Weighted average shares outstanding,~  $~ v  ~  Zy basic and dilutedDl{ocW=U9 WAtc ! " #  $!____________________________1")Created by Morningstar Document Research.0#(http://documentresearch.morningstar.com/ <=PF0*8X> @## "" !!        l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } :} $ }  } $ }  }  $ } } $                      ARGOS THERAPEUTICS INC 10-K 03/16/20175-CONSOLIDATED STATEMENTS OF COMPREHENSIVE LOSSYear Ended December 31,  ~ z ~ ~ ~  Net loss ~ vJ  ~ ^E+  ~ k[ ! 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Equity (Deficit)               (Loss)' Balance as of December 31, 2013  ~ b  ~   ~ :  ~   ~ "  ~   Issuance of common stock  ~ +|   ~ Va   ~ N     ?    ?   ~ ^  # Common stock issuance costs   ?    ?   ~ ry    ?    ?   ~ ry (  Exercise of common stock options  ~ /   ~    ~     ?    ?   ~ * 0(Conversion of warrants into common stock~ >~   ~     ? ? ? 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Dl5nZc kr?zG}@ A B C D E F G H I J K L M N O P Q R S T U V W X @Beginning of period@@~ @X@@@~ @@@ @ ~ @ "+x@ A End of periodA~ AAA~ A"+xAA ~ A = A 8B0Supplemental disclosure of cash flow informationBBBBBBBBB B B B CCash paid for interestC~ CCC~ CdCC ~ C :C 4D,Supplemental disclosure of noncash investingDDDDDDDDD D D D  Eand financing activities1F)Issuance of common stock for research andF F$?FF~ F"߀FF ~ F F &Gdevelopment and other services1H)Conversion of preferred stock into commonH~ H>7NHH H$?HH  H $?H  Istock!JPreferred stock accretionJ~ J4JJ J$?JJ  J $?J 8K0Interest capitalized on construction-in-progressK K$?KK~ K:5KK ~ K /K 4L,Purchases of property and equipment includedL L$?LL~ L:JLL ~ L L 0M(in accounts payable and accrued expenses/N'Recognition of asset and facility leaseN~ NONN~ NmNN ~ N ֫N -O%obligation related to construction ofP new property1Q)Stock issuance costs included in accountsQ Q$?QQ Q$?QQ ~ Q AQ $Rpayable and accrued expenses/S'Property recognized under capital leaseS S$?SS S$?SS ~ S BԐS T obligationsU$V____________________________1W)Created by Morningstar Document Research.0X(http://documentresearch.morningstar.com/6B K`tT#3 fOC=PF0*8X> @B(XX WW VV SSSSSS QQQQQQ NNNNNN LLLLLL KKKKKK JJJJJJ HHHHHH FFFFFF CCCCCC AAAAAA      l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0.} $ }  } $ } y}  $ } $} $ } y} $      ARGOS THERAPEUTICS INC 10-K 03/16/2017.&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~ *U $?   $?  ~ *U.&Corporate debt securities ? short-term ?~ b:=    ?  ~ b:=!Restricted cash ? current~ *-     ~ *-"Total assets at fair value~ RU~ b:=   $?  ~ $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/2 znbV(, V^uw=PF0*8X> @              l  ϼ  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } %} $ }  } $ } $}  $ } $} $ }  } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017.&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~  X  $?   $?  ~  X #Restricted cash ? long-term~ *- ?    ?  ~ *-"Total assets at fair value~   $?   $?  ~   Liabilities     Warrants $? $? ~  9  ~ 9'Total liabilities at fair value $? $? ~  9  ~ 9$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/68 znbV(, Vi(eYM%=PF0*8X> @"$                l  1  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } m)} $ } } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017.&2. Fair Value of Financial Instruments'Balance as of December 31, 2015 $?* "Issuance of warrants at fair value  ~ : ' Unrealized gain during the year  ~ " ' Balance as of December 31, 2016 ~ 9   $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@znbVH=PF0*8X> @*  l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0.} $ } y} $ } $}  $ } } $ } y} $      ARGOS THERAPEUTICS INC 10-K 03/16/2017.&2. Fair Value of Financial InstrumentsAs of December 31, 2015   Amortized Cost  Gross  Gross   Aggregate   Basis   Unrealized   Unrealized  Fair       Holding  Holding  Value       Gains  Losses Money-market funds ~ *U   $?   $?  ~ *U .&Corporate debt securities ? short term~ >= ?  ~    ~ b:=$Restricted cash ? short-term~ *- ?    ?  ~ *-~  $? ~    ~ $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0znbVnAHZv=PF0*8X> @              l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } !} $ }  } $ } $}  $ } $} $ }  } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017.&2. Fair Value of Financial InstrumentsAs of December 31, 2016   Amortized Cost  Gross  Gross   Aggregate   Basis   Unrealized   Unrealized  Fair       Holding  Holding  Value       Gains  Losses Money-market funds ~  X    $?   $?  ~  X  #Restricted cash ? long-term~ *- ?    ?  ~ *-~   $?   $?  ~  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.znbVnATp=PF0*8X> @              l  )  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 8} $ } } $ }  }  $ } y} $                             ARGOS THERAPEUTICS INC 10-K 03/16/2017!3. Property and Equipment Useful Life~ ~ ~     (Years)& Office furniture and equipment  ~   ~ )  ~ N'(  Computer equipment  ~    ~ ?;   ~ $>  Computer software  ~    ~ r&   ~   Laboratory equipment  ~    ~ i   ~ ~v\ Leasehold improvements~ ~ v  ~  * 3+Assets related to facility lease obligation~   ~  F  Construction-in-progress~ z  ~  VL     )!Total property and equipment, net~ Im  ~  X  7/Less: Accumulated depreciation and amortization~ F/  ~  b$     #Property and equipment, net~ ByQ ~  f|  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/:[ {oc-yX9x j^R*=PF0*8X> @Z       l  "  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I"} $      ARGOS THERAPEUTICS INC 10-K 03/16/2017!3. Property and Equipment$Year ended December 31, 2014~ "$ Year ended December 31, 2015 ~ ) $ Year ended December 31, 2016 ~ V :   $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$p,{ocyma9=PF0*8X> @2    l  8  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 1} $ } y} $ } y} $                              ARGOS THERAPEUTICS INC 10-K 03/16/20174. Income Taxes December 31,  ~ ~ ~ 1 )U.S. federal and state net operating loss ~ .  ~ PS   carryforwards0 (Foreign net operating loss carryforwards  ~ X   ~ &] " Contribution carryforwards  ~ VB   ~ VB ( Research and development credits~ ~ 6UInvestment tax credits~ ~ n Share-based compensation~ ι3~ r`Other accruals~ Y+~ 7Deferred revenue~ "U~ hDProperty and equipment~ &~ !Total deferred tax assets~  >~ u/'Valuation allowance for deferred assets~ ~ "$Net deferred tax assets $? $?$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/<I ym=|cA+%xP=PF0*8X> @R      l  X  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 7} $ } } $ }  } U} $ } } $ }  } U} $ } } $ }  } U      ARGOS THERAPEUTICS INC 10-K 03/16/20174. Income Taxes~ z ~  ~~    Amount " Percent of Pretax Earnings  Amount " Percent of Pretax Earnings  Amount " Percent of Pretax Earnings' U.S. federal tax statutory rate ~ 6̭   ~  % ~    ~  % ~ *   ~  %, $State taxes (net of federal benefit)  ~      @ %  ~ ʉ    @ %  ~    ~   %- %U.S. federal research and development  ~ "     @ %  ~ }    333333@ %  ~ V~    @ %  tax credits$Other nondeductible expenses~ 4( %)  ~  ?  ffffff %)~ ~g. %)-%Increase in unrecognized tax benefits~ (~  %)  ~  :'   %)~ N  %)*"Change in effective state tax rate~ V~  %)  ~  ީH   %)~ e %)6.Expiration of NOL & contribution carryforwards~ > %)  ~  VUI  ) %) ?~  %)%Change in valuation allowance~ ~ C %)  ~    L6 %)~ 733333@ %)#Deferred tax asset true-ups~  %)  ~     %)~ ? %"Provision for income taxes $?~  %   $?  ~  % $?~  %$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/8bymz&KOC7=PF0*8X> @          l  k  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $4} $ }  } $ }  }  $ }  } $                      ARGOS THERAPEUTICS INC 10-K 03/16/20174. Income Taxes~ z~ ~ ~   Beginning balance ~ R_d  ~ ⇃  ~ b 0 (Gross increase for tax positions related  ~    ~ '   ~   to current periods3 +Gross (decrease) increase for tax positions  ~ 5    ?    ?  related to prior periodsEnding balance~ ⇃~ b ~  r $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|ym! =PF0*8X> @b        l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)Facility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 6} $ } I} $ } I} $                            ARGOS THERAPEUTICS INC 10-K 03/16/20175. Notes Payable~ ~~ 0 (Notes payable under the venture loan and ~   ~ V - %security agreement, including accrued interest" Less related debt discount  ~  {   ~ q 0 (Notes payable under the venture loan and  ~    ~ l 0(security agreement, net of debt discount5-Promissory note payable to Medinet, including~ v ~ цaccrued interestOther notes payable~ ~ Total notes payable~ ~ "0Less current portion~ R~ C*"Long-term portion of notes payable~ 6Y~ Js$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/8]xl,{gEtXRTH<=PF0*8X> @J    l  ~  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } *} $ }  } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017!Facility Lease Obligation Year ending December 31:~  ~ # ~   ~ T$ ~   ~ %% ~   ~ % ~   ~ &  Thereafter~ 6Ԏ+#Total future minimum lease payments~ ZH$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.{oc's3VJ>=PF0*8X> @*  l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease Obligation 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 7} $ }  } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017!Capital Lease Obligations Year ending December 31:~  ~ ! ~   ~ ! ~   ~ ! ~   ~ ! ~   ~ !  Thereafter~ 2~%Total future minimum payments~ Y%Amounts representing interest~ -%Present value of net minimum payments~ v4,Current portion of capital lease obligations~ 6.Long-term portion of capital lease obligations~ Zu$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/6{oc's3P(=PF0*8X> @*  l  T  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } $ }  }  $ }                     ARGOS THERAPEUTICS INC 10-K 03/16/2017 9. WarrantsType of WarrantNumber of SharesExercise Price   Expiration           Date(s)  Common stock  ~ r    Q"@   9/29/21  Common stock  ~ ţ   ffffff@   3/14/21  Common stock  ~ 6   ffffff@   6/29/21  Common stock  ~ &   @   8/02/21$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*h}q[5=PF0*8X> @J        l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } <(} $ } } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017 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}qBy=PF0*8X> @2   l  }  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } U5} $ } $} $} $ } $} $                             ARGOS THERAPEUTICS INC 10-K 03/16/2017 9. WarrantsAugust 2, 2016December 31, 2016     " Exercise price of warrants  @   @ . &Closing underlying stock price on date  (\@   @   of valuation' Expected stock price volatility  ~ R %  ~ R % Expected life (in years)~ RQ@Risk-free interest rateQ? %zG? %Expected dividend yield~  %~  %-%Valuation per common share underlying(\ @(\@ each warrant3+Total liability for warrants on the balance~ :~ 9 sheet4,Decrease in fair value during the year ended~ {=December 31, 2016$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/: }q`1kZ{=PF0*8X> @r     l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0.} $ } y} $ } y}  $ } y} $                    ARGOS THERAPEUTICS INC 10-K 03/16/2017G?2014 Stock Incentive Plan and 2014 Employee Stock Purchase PlanYear Ended December 31,  ~ z ~ ~ ~  Research and development ~ a  ~ Fq  ~  " General and administrative  ~ V   ~ &t   ~  8 . &Total share-based compensation expense ~   ~ j   ~ @I  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(_TaUI=Vr=PF0*8X> @j           l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } -} $ }  } $} $ }  } $} $ } } $                    ARGOS THERAPEUTICS INC 10-K 03/16/2017F>Valuation Assumptions for Stock Option Plans and the 2014 ESPP~ z~ ~ ~   Risk-free interest rate   Gz@ %   ffffff@ %   ? % Expected dividend yield  ~  %  ~  %  ~  %- %Expected stock option term (in years)  ~    ~    ~   Expected volatility  ~  %  ~ ^ %  ~ J % $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(0TbVJ>`=PF0*8X> @2    l     dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } +} $ }  } $} $ } } } } $ } } }                     ARGOS THERAPEUTICS INC 10-K 03/16/2017F>Valuation Assumptions for Stock Option Plans and the 2014 ESPP~ z~ ~ ~   Risk-free interest rate   Q? %  0.07%~  0.26%  Gz?~  0.50% Expected dividend yield  ~  %   0%    0% , $Expected ESPP rights term (in years)   ?    ?    ?  Expected volatility  ~ V %  45%~  58%  113%~  141% $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(PTbVJ>W=PF0*8X> @2    l  /  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 7} $ } y}  $ } } $      ARGOS THERAPEUTICS INC 10-K 03/16/20170(Other Information for Stock Option Plans Number ofWeighted  Weighted  Aggregate   Shares  Average Exercise  Average   Intrinsic       Price   Contractual  Value           Term            (in years)+ #Outstanding as of December 31, 2015  ~ 6   (\@         Granted~ iHzG@      Exercised~  ffffff@      Cancelled~ Gz@     +#Outstanding as of December 31, 2016~ >+HzG@   Gz@  ~ L+#Exercisable as of December 31, 2016~ ~    Q@  ~ 2m6.Vested and expected to vest as of December 31,~ = ףp=@   RQ@  ~ ʂI~ $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/62 xl`T4)B_m_S+=PF0*8X> @        l  F  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!2 Fair Value of Financial Instr!2 Fair Value of 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WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } U}  } $ }  } $ } } $ }  } $      ARGOS THERAPEUTICS INC 10-K 03/16/20170(Other Information for Stock Option Plans1)Exercise Price or Range of Exercise PriceOptions OutstandingWeighted Average  Options Exercisable         Contractual Life         (Years) HzG@ to @  ~ P9    (\@   ~   ffffff@ to Q@  ~ W    Gz@   ~ oP  333333@ to Q@  ~ rG    Q!@   ~   @ toGz.&@~ Nr  Q@   ~  nfffffA@ toGzTB@~  (\@   ~  ~ >+ Gz@   ~  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0Q xl`T%N=PF0*8X> @J       l  ZV  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I"} $ }  } $      ARGOS THERAPEUTICS INC 10-K 03/16/201712. Commitments~ ~ Θ~   ~ : $ Total minimum lease payments ~    $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$>,ym9k=PF0*8X> @*   l  j  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 6} $ } I} $ } }  $ } } $                         ARGOS THERAPEUTICS INC 10-K 03/16/201714. Net Loss Per ShareYear Ended December 31,  ~ z ~ ~ ~         Net loss ~ vJ  ~ ^E+  ~ k[ 5 -Accretion of redeemable convertible preferred  ~ P    ?    ?  stock4,Net loss attributable to common stockholders~ ~ ^E+ ~  k[ 3+Weighted average common shares outstanding,~  $~ v  ~  Zy basic and diluted1)Net loss per share attributable to common(\HzG   (\ 'stockholders, basic and diluted$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/2~rf+}*os=PF0*8X> @          l  S|  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } $ } y} $ } y}  $ } y} $                   ARGOS THERAPEUTICS INC 10-K 03/16/201714. Net Loss Per ShareYear Ended December 31,  ~ z ~ ~ ~ ! Stock options outstanding  ~ ŭ   ~ J3   ~ 0  Warrants outstanding  ~ v    ~ v    ~    $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@~rf+`TH =PF0*8X> @:      l  =  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } -} $ } } $ } }  $ } } $ } } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017/'15. Selected Quarterly Data (unaudited) Quarter Ended    March 31,  June 30,   September 30,   December 31,  ~ ~ ~ ~ ~ ~ ~ ~ Revenue ~ N   ~   ~ 6   ~ j  Operating expenses:                 Research and development  ~ N   ~    ~ 6z   ~ U "General and administrative~ ~   ~  %  ~ zOperating loss~ 2~ =  ~  * J  ~ *#Other income (expense), net~ 6/~ ,  ~  :v  ~ e     Net loss~ f~ jS ~  b6  ~ I-%Net loss per share, basic and diluted{Gzffffff   ףp=   zG,$Weighted average shares outstanding,~ Ұ~ گ  ~    ~ basic and diluted$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/8& ymaU$omsK=PF0*8X> @            l  α  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0} $ } y} $ } y}  $ } y} $ } } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017/'15. Selected Quarterly Data (unaudited) Quarter Ended    March 31,  June 30,   September 30,   December 31,  ~  ~  ~  ~  Revenue ~   ~   ~   ~    Operating expenses:                 Research and development  ~ bC   ~ bV/   ~ :   ~  t "General and administrative~ ”~   ~  Z  ~ &0(Impairment of property and equipment (1) ? ?    ?  ~ ;-Operating loss~ f~   ~  #  ~ UA#Other income (expense), net~ ~ ^  ~  ._  ~ {     Net loss~ ~ n ~    ~ V-%Net loss per share, basic and diluted= ףp=Q޿  {GzԿ  Gz׿,$Weighted average shares outstanding,~ c~ 6  ~     ~ >g basic and diluted$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/:3ymaU$o tzR=PF0*8X> @            l  x  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I"} $      ARGOS THERAPEUTICS INC 10-K 03/16/2017.&Deferred Tax Asset Valuation Allowance Additions    Balance at   Charged to   Charged to   Increases   Balance at    Beginning  Expenses  Other       End of Year   of Year  (a)  Accounts$ Year Ended December 31, 2016 ~ .  ~ n   $?   $?  ~  C $ Year Ended December 31, 2015 ~ )  ~     $?   $?  ~ . $Year Ended December 31, 2014~ &~ r<   $?   $?~ )$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|znbVD!;UocW/=PF0*8X> @                   l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation AlLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $ } } } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017C;Counterpart Signature Page to Registration Rights Agreement              By:     By:      Name: Title: Date:Contact Person:Telephone No.: Telecopy No.:Email Address:Address:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/8eYMAi6t3U =PF0*8X> @R   l  ;  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } U} } $ } 2      ARGOS THERAPEUTICS INC 10-K 03/16/2017LEASE TERM SHEET  ? Landlord:#Keystone-Centennial II, LLC   2 *a North Carolina limited liability company   $ 5410 Trinity Road, Suite 215    Raleigh, NC 27607   * "Attn: J. Patrick Gavaghan, Manager   (  Email: jpgavaghan@kscdevelop.com  ?Managing Agent:Keystone Corporation$a North Carolina Corporation$5410 Trinity Road, Suite 215Raleigh, NC 27607Attn: Jim Little%Email: jlittle@kscdevelop.com  ?Tenant: Argos Therapeutics, Inc.a Delaware corporation$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/>0xlp/]p/r!=PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } *} $ } *} $ } +      ARGOS THERAPEUTICS INC 10-K 03/16/2017LEASE TERM SHEET After Commencement Date:!Before Commencement Date:Emergency Contact:      1010 Main Campus Drive  4233 Technology Drive  Name: Randal Goller  Suite ____  Durham, NC 27704  Tel: 919-641-2276% Raleigh, North Carolina 27607  Attn: Jeffrey D. Abbey , $Email: rgoller@argostherapeutics.com Attn: Jeffrey D. Abbey + #Email: jabbey@argostherapuetics.com  +#Email: jabbey@argostherapuetics.com*"With a copy to the General Counsel$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|xl7=G;/=PF0*8X> @ l  55  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } U} y } $ 5     ARGOS THERAPEUTICS INC 10-K 03/16/2017LEASE TERM SHEET  ?,$Landlord Parties: Landlord, Managing - %Agent, and their respective officers, 3 +directors, managers, employees, and owners.       ?0 (Tenant Parties: Tenant and its officers, ) !directors, employees, and owners.  ?Brokers:/'- Landlord's Broker: CBRE (Lee Clyburn)- Tenant's Broker: N/A  ?;3Landlord's Lender: As of the date of determination,2*the beneficiary of any deed of trust which3+is a first lien against Landlord's interestin the Building.  ?-%NCSU: North Carolina State University  ?2*Campus: The NCSU Centennial Campus locatedin Raleigh, NC  ?4,Execution Date: The latest date of execution2*by Landlord and Tenant as reflected on the%signature page of this Lease.Dlxl.r0u6=Wu/ !"#$%&'()*+,-./01234      ! ?2!*Land: Being all of Lot 1, containing 2.612"2"*acres, more or less, as shown on that plat#0#(recorded in Book of Maps 2015, Page 145,$$Wake County Registry.%%%%% & ?.&&Building: That building located on the'0'(Land consisting of approximately 104,998(4(,rentable square feet, identified as ? Center)3)+for Technology and Innovation ?, and having*4*,an address of 1010 Main Campus Dr., Raleigh,+6+.NC. As used in this Lease, the term ?Building?,1,)shall also include the Land and all other-1-)improvements, now located or subsequently.!.constructed, on the Land./////01$2____________________________13)Created by Morningstar Document Research.04(http://documentresearch.morningstar.com/.8>UJQ =PF0*8X> @ !443322..--,,++**))((''&&$$##""!!     l  Hj37>@  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } U} $ H     ARGOS THERAPEUTICS INC 10-K 03/16/2017LEASE TERM SHEET91- Rent Abatement : 50% of the Base Rent otherwise 5 -due shall abate during the first three months - %following the Rent Commencement Date; 1 )a total of $131,413.75 in Rent Abatement. / '- Additional Rent (TICAM): Described in * "Section 5.3 (This is a NNN Lease.)-%- Initial Advance Payment: $17,791.400((The parties acknowledge that this is anestimated amount.)6.- Tenant's Proportionate Share: The percentage0(obtained by dividing the rentable square3+feet of the Premises by the rentable square2*feet of the Building, as those figures may6.vary from time to time resulting from physical2*changes in the size of the Premises and/or0(Building, or changes in the character of/'space within the Building, which, as of-%the Rent Commencement Date is 38.51%.%- Holdover Rent Multiple: 1.5  ?/'Security Deposit Amount: Subject to the1)provisions of Exhibit G , $2,400,000.00  ?6.Rules & Regulations: The rules and regulationsD lxl#`!j@w5m.? !"#$%&'()*+,-./0123456789:;<=>? 1 )described on Exhibit H attached, as may!1!)be subsequently supplemented and modified"."&by Landlord as provided in this Lease.##### $ ?$ Insurance:$$%3%+- Tenant Liability Coverage: $10,000,000.00&&Combined Single Limit;'5'-- Landlord Liability Coverage: $10,000,000.00((Combined Single Limit)3)+- Business Interruption Insurance Coverage:**12 months Base Rent+++++ , ?&,Interest Rate: 12.0% per annum-----.....///// 0 ?0Guarantor(S): N/A11111 2 ?2 Exhibits: 2A - Premises Description3333B - Renewal Option444!4C - Building Improvements5555D - Tenant Upfit666!6E - Construction Schedule7777 F - Base Rent88878/G - Letter of Credit Terms & G-1 Form of Letter9999 of Credit:::!:H - Rules and Regulations;;;4;,I - Itemized Inventory of Hazardous or Toxic<<<< Materials===-=%J - Radioactive Materials/Radioactive>>>>Equipment Requirements????K - Lease MemorandumD l~@Ww;O$_Po@ABCDEFG@@@@ L - GeneratorAAAAM - Shared UtilitiesBBB.B&N - Tenant's List of Personal PropertyCD$E____________________________1F)Created by Morningstar Document Research.0G(http://documentresearch.morningstar.com/ )=PF0*8X> @7GGFFEEBBAA@@??>>==<<;;::99887766554433222200,,**))((''&&%%$$""!!       l  rT  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)BASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } I"} 0      ARGOS THERAPEUTICS INC 10-K 03/16/2017$9. SERVICES/PARKING/REPAIRS.$Utility Service for Premises Provider/Cost Allocation Data and Communication(  Tenant's Provider/100% to Tenant  Water & Sewer. &City of Raleigh/Tenant's Proportionate  Share ( Section 5.3 )  Electrical/ 'NCSU/Tenant's Allocable Costs ( Exhibit  M )Chilled Water for HVAC/'NCSU/Tenant's Allocable Costs ( Exhibit M ) Natural Gas0(PSNC/ Tenant's Allocable Costs ( Exhibit M )$Janitorial and Trash Removal( Tenant's Provider/100% to Tenant Other( Tenant's Provider/100% to Tenant$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/6xl`{Nz/wkC=PF0*8X> @ l  $mo  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRS31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $ } <} $ } } $ }  $     ARGOS THERAPEUTICS INC 10-K 03/16/2017BASE RENT SCHEDULELEASE PERIOD (Mos.)*INSTALLMENT AMOUNT **PAYMENT AMOUNT **        01 - 03  $87,576.67/mo.  $43,788.33/mo.  04 - 15  $87,576.67/mo.  $87,576.67/mo.  16 - 27  $90,203.97/mo.  $90,203.97/mo.  28 - 39  $92,910.09/mo.  $92,910.09/mo.40 - 51$95,697.39 /mo.$95,697.39 /mo.52 - 63$98,568.31 /mo.$98,568.31 /mo.64 - 75$101,525.36/mo.$101,525.36/mo.76 - 87$104,571.12/mo.$104,571.12mo.88 - 99$107,708.25/mo.$107,708.25/mo. 100 - 111$110,939.50 /mo.$110,939.50 /mo. 112 - 123***$114,267.69/mo.$114,267.69/mo. 124 - 135$117,695.72 /mo.$117,695.72 mo. 136 - 147$121,226.59 /mo.$121,226.59 /mo. 148 - 159$124,863.39 /mo.$124,863.39 /mo. 160 - 171$128,609.29 /mo.$128,609.29 mo. 172 - 183***$132,467.57 /mo.$132,467.57 /mo. 184 - 195$136,441.59 /mo.$136,441.59 mo. 196 - 207 140,534.84.$140,534.84 /mo. 208 - 219$144,750.89 /mo.$144,750.89 /mo. 220 - 231$149,093.41 /mo.$149,093.41 /mo. 232 - 243$153,566.22 /mo.$153,566.22 mo.D lvj Y>e4So! !"# $!____________________________1")Created by Morningstar Document Research.0#(http://documentresearch.morningstar.com/ <=PF0*8X> @2##""!! l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0.}  } $      ARGOS THERAPEUTICS INC 10-K 03/16/2017"3.1. Calculation Formulas.Adjustment DateMaximum Draw Amount   - %End of 52 nd full month of the Term  $ 1,000,000 - %End of 64 th full month of the Term  $ 800,000 - %End of 76 th full month of the Term  $ 600,000 - %End of 88 th full month of the Term  $ 400,000 .&End of 100 th full month of the Term $ 200,000$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/,|znb(^ g[O'=PF0*8X> @" l  v  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } U5} $ }       ARGOS THERAPEUTICS INC 10-K 03/16/2017"3.1. Calculation Formulas. Cash RunwayMaximum Draw Amount4 ,9 months or greater, but less than 12 months ~ [3 +6 months or greater, but less than 9 months ~ m3 +3 months or greater, but less than 6 months ~ , Less than 3 months ~ | $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(Tznb },=PF0*8X> @ l  ?  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1) Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 0.} U      ARGOS THERAPEUTICS INC 10-K 03/16/20172*ITEMIZED INVENTORY OF HAZARDOUS SUBSTANCES Material Name Amount Stored   Peridox  12 gallons LpH  12 gallons 70% IPA  330 gallons" Bleach Sodium Hypochlorite  25 gallons 100% Ethanol 32 Liters100% IPA 20 Liters CO214 @ 50 pound cylinders LN26 @ 240 liter dewarsCompressed Air2 @ 312 cubic feetFormaldehyde Solution3 LitersHydrochloric Acid 0.1 N1 liter&Sodium Hydroxide Solution 1 OM1 literGram Decolorizer1 liter.&Methanol, CHROMASOLV for HPLC .::99.9%200 ml$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/>0vj^R T'e0J>2 =PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUSExhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } <} $ } }                              ARGOS THERAPEUTICS INC 10-K 03/16/2017 Exhibit 10.441. CONTRACT ID CODE PAGE OF PAGES. &AMENDMENT OF SOLICITATION/MODIFICATION ~ ~   OF CONTRACT% 2. AMENDMENT/MODIFICATION NO. 3. EFFECTIVE DATE(  4. REQUISITION/PURCHASE REQ. NO.(  5. PROJECT NO. (If applicable)  Thirteen (13) See Block 16C. N/A N/A  6. ISSUED BY CODE 1 )7. ADMINISTERED BY (If other than Item 6) CODE N/A #Office of Acquisitions, DEATIB, BSP, DAIDS 4,National Institute of Allergy and Infectious Diseases+#National Institutes of Health, DHHS .&5601 Fishers Lane, Room 3D10, MSC 9821 Bethesda, MD 20892-9821 $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/8?{o+@bWrfZ2=PF0*8X> @                 l  p  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } m} } a/      ARGOS THERAPEUTICS INC 10-K 03/16/2017 Exhibit 10.446.8. NAME AND ADDRESS OF CONTRACTOR (No. Street, [ ])!9A. AMENDMENT OF SOLICITATION NO.$ County, State and ZIP: Code)   . &Argos Therapeutics, Inc. VIN # 1109171  9B. DATED (SEE ITEM 11) 4233 Technology Drive   Durham, NC 27704 X/ '10A. MODIFICATION OF CONTRACT/ORDER NO.HHSN266200600019C 10B. DATED (SEE ITEM 13) CODE FACILITY CODESeptember 30, 2006$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0n{oLF=PF0*8X> @B     l  5P  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } $4 5     ARGOS THERAPEUTICS INC 10-K 03/16/2017A911. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS-%12. ACCOUNTING AND APPROPRIATION DATA  (If required)   N/A  3 +13. THIS ITEM APPLIES ONLY TO MODIFICATIONSOF CONTRACTS/ORDERS,7/IT MODIFIES THE CONTRACT/ORDER NO. AS DESCRIBED IN ITEM 14. [ ]/'A. THIS CHANGE ORDER IS ISSUED PURSUANT3+TO: (Specify authority) THE CHANGES SET1)FORTH IN ITEM 14 ARE MADE IN THE CONTRACTORDER NO. IN ITEM 10A./'B. THE ABOVE NUMBERED CONTRACT/ORDER IS.&MODIFIED TO REFLECT THE ADMINISTRATIVE2*CHANGES (such as changes in paying office,%appropriation date, etc.) SET1)C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED&INTO PURSUANT TO AUTHORITY OF: X FAR 1.602-1.&D. OTHER (Specify type of modificationand authority)Dlg[OCc(KFv^ !"#$%&'()*+,-./01234  8!0E. IMPORTANT: Contractor ? is not, ? is required;"3to sign this document and return 1 copy to#the issuing office.1$)14. DESCRIPTION OF AMENDMENT/MODIFICATION5%-(Organized by UCF section headings, including,&$solicitation/contract subject matter'where feasible.)3(+PURPOSE : To: (1) extend the contract for1))a period of 24-months, from July 31, 20162**to July 31, 2018, at no additional cost to/+'the Government; and (2) revise Articles1,)B.2., B.4., B.5., F.3., G.2., G.3., H.6.,1-)H.7., H.8.; (3) delete Article H.23.; and3.+(4) revise Section K, as reflected on pages /1-6.01$2____________________________13)Created by Morningstar Document Research.04(http://documentresearch.morningstar.com/.?mN](U=PF0*8X> @443322//..--,,++**))((''&&%%$$##""!!    l  [  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } a} y#      ARGOS THERAPEUTICS INC 10-K 03/16/2017A911. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONSNSN 7540-01-152-807030-105%STANDARD FORM 30 (REV. 10-83)! PREVIOUS EDITION UNUSABLE Computer Generated Prescribed by GSA   FAR (48 CFR) 53.243  $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,g[OCQE9=PF0*8X> @  l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} a}        ARGOS THERAPEUTICS INC 10-K 03/16/2017A911. THIS ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS Argos Therapeutics, Inc.& Contract No. HHSN266200600019C SPECIAL PROVISIONS  Page 2 of 6 Modification No. 13    $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$x,g[OCqeY1=PF0*8X> @  l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 2} } } }       ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLYPeriod of PerformanceEstimated Cost Fixed FeeEstimated CPFF Base 09/30/2006-06/30/2010 [**] [**] [**]2 *Option 1 ? Autologous Vaccine and Clinical 07/01/2010-07/31/2018 [**] [**] [**] Trial Total Base Plus Option 1  GW2SA~ n&U G/A $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/(T>2&CI=1 =PF0*8X> @ l  $  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } } }       ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLYPeriod of Performance Total Cost Not to Exceed Option 1 07/01/2010-07/31/2018 [**] Total Base Plus Option 1  [**]  $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,>2&D8,=PF0*8X> @  l  4  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} a}        ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLY Argos Therapeutics, Inc.& Contract No. HHSN266200600019C SPECIAL PROVISIONS  Page 3 of 6 Modification No. 13    $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,>2&H<0=PF0*8X> @  l  E  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} } $4      ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLYOptionPeriod of Performance3+Total Cost, Excluding Travel, Not to Exceed Base 09/30/2006-06/30/2010 [**] Option 1 07/01/2010-07/31/2018 [**] Total Base Plus Option  [**]  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@>2&o*=PF0*8X> @ l  UU  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED 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Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} } $4      ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLYOptionPeriod of Performance3+Total Cost, Excluding Travel, Not to Exceed Base 09/30/2006-06/30/2010 [**] Option 1 07/01/2010-07/31/2018 [**] Total Base Plus Option  [**]  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@>2&o*=PF0*8X> @ l  e  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} } $4      ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLYOptionPeriod of Performance3+Total Cost, Excluding Travel, Not to Exceed Base 09/30/2006-06/30/2010 [**] Option 1 07/01/2010-07/31/2018 [**] Total Base Plus Option  [**]  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@>2&o*=PF0*8X> @ l  w  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } 2} } m} a      ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLY Period of Total Cost Government?sContractor?s Share   Performance  Share Base 09/30/2006-06/30/2010 [**] [**] [**]2 *Option 1 ? Autologous Vaccine and Clinical 07/01/2010-03/31/2018 [**] [**] [**] Trial Total Base Plus Option   G/A~ G;A$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*)h>2&m t=PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} a} <      ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLY Argos Therapeutics, Inc.& Contract No. HHSN266200600019C SPECIAL PROVISIONS  Page 4 of 6 Modification No. 13    $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,>2&~G;/=PF0*8X> @  l  k  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } y }       ARGOS THERAPEUTICS INC 10-K 03/16/2017jbBEGINNING WITH THE EFFECTIVE DATE OF THIS MODIFICATION, THE GOVERNMENT AND THE CONTRACTOR MUTUALLYOptionPeriod of Performance Base 09/30/2006-06/30/2010 Option 1 07/01/2010-07/31/2018  $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$h,>2&uiA=PF0*8X> @  l  Ŧ  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } m} a} %} m      ARGOS THERAPEUTICS INC 10-K 03/16/2017D<ARTICLE G.2. KEY PERSONNEL, HHSAR 352.237-75 (December 2015)  Line Item No. Option Description' Line Item Period of Performance  Funded Amount~ " Option 1$ July 1, 2010 ? July 31, 2018~ ҅J~ & Option 1$ July 1, 2010 ? July 31, 2018~ j  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@dXL@==PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} a} m      ARGOS THERAPEUTICS INC 10-K 03/16/2017kcNOTE: When additional funding is provided by exercise of an Option, new line item numbers, includin Argos Therapeutics, Inc.& Contract No. HHSN266200600019C SPECIAL PROVISIONS  Page 5 of 6 Modification No. 13    $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$,=1%|E9-=PF0*8X> @  l  #Ti  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $ } U} $} U5 #     ARGOS THERAPEUTICS INC 10-K 03/16/2017kcARTICLE H.6. CONTINUED BAN ON FUNDING ABORTION AND CONTINUED BAN ON FUNDING OF HUMAN EMBRYO RESEARC a.80The Contractor shall not use any funds obligated  - %under this contract for any abortion.  b.8 0The Contractor shall not use any funds obligated  . &under this contract for the following:  ~ 1 )The creation of a human embryo or embryos   ! for research purposes; or~  3+Research in which a human embryo or embryos.&are destroyed, discarded, or knowingly4,subjected to risk of injury of death greater1)than that allowed for research on fetuses1)in utero under 45 CFR part 46 and Section/'498(b) of the Public Health Service Act(42 U.S.C. 289g(b)). c.4,The term ?human embryo or embryos'' includes6.any organism, not protected as a human subject<4under 45 CFR part 46 as of the date of the enactment6.of this Act, that is derived by fertilization,.&parthenogenesis, cloning, or any other5-means from one or more human gametes of humandiploid cells. d.0(The Contractor shall not use any Federal.&funds for the cloning of human beings.Dq l=1%z$6'u6Bq' !"$ ____________________________1!)Created by Morningstar Document Research.0"(http://documentresearch.morningstar.com/ (=PF0*8X> @""!!     l  e  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!CERTIFICATIONS PURSUANT TO 18 U!CERTIFICATIONS PURSUANT TO (1)U } $} a}       ARGOS THERAPEUTICS INC 10-K 03/16/2017B:ARTICLE H.8. PRIVACY ACT, HHSAR 352.224-70 (December 2015) Argos Therapeutics, Inc.& Contract No. HHSN266200600019C SPECIAL PROVISIONS Page 6 of 6 Modification No. 13    $ ____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/$|,fZNBmaU-=PF0*8X> @  l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO (1)U } $ } } U      ARGOS THERAPEUTICS INC 10-K 03/16/20171)CERTIFICATIONS PURSUANT TO 18 U.S.C. 1350 By:/S/ JEFFREY D. ABBEY   Jeffrey D. Abbey   Chief Executive Officer   March 16, 2017  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@wk_Swk_7=PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??UARGOS THERAPEUTICS INC!Securities registered pursuant Table of ContentsOur Development ProgramsDevelopment Status NO TITLE!Description and Development Sta!If we fail to establish commerc!Item 5 Market for Registrant s  Item 5 Market for Registra (1)!Consolidated Statements of Oper!Consolidated Balance Sheet Data!Liability for Warrants and the ShareBased Compensation!Results of Operations YearOverY!Research and Development Expens Cash Flows!Contractual Obligations and Com MANAGEMENT EXHIBIT INDEXEXHIBIT INDEX (1)EXHIBIT INDEX (2)EXHIBIT INDEX (3)!INDEX TO CONSOLIDATED FINANCIALCONSOLIDATED BALANCE SHEETS!CONSOLIDATED STATEMENTS OF (1)!CONSOLIDATED STATEMENTS OF COMP!CONSOLIDATED STATEMENTS OF CHAN!CONSOLIDATED STATEMENTS OF CASH!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)3 Property and Equipment3 Property and Equipment (1)4 Income Taxes4 Income Taxes (1)4 Income Taxes (2)5 Notes PayableFacility Lease ObligationCapital Lease Obligations 9 Warrants9 Warrants (1)9 Warrants (2)!2014 Stock Incentive Plan and 2!Valuation Assumptions for Stock!Valuation Assumptions for S (1)!Other Information for Stock Opt!Other Information for Stock (1)12 Commitments14 Net Loss Per Share14 Net Loss Per Share (1)!15 Selected Quarterly Data unau!15 Selected Quarterly Data (1)!Deferred Tax Asset Valuation Al!Counterpart Signature Page to RLEASE TERM SHEETLEASE TERM SHEET (1)LEASE TERM SHEET (2)LEASE TERM SHEET (3)9 SERVICESPARKINGREPAIRSBASE RENT SCHEDULE31 Calculation Formulas31 Calculation Formulas (1)!ITEMIZED INVENTORY OF HAZARDOUS Exhibit 1044Exhibit 1044 (1)!11 THIS ITEM ONLY APPLIES TO AM!11 THIS ITEM ONLY APPLIES T (1)!11 THIS ITEM ONLY APPLIES T (2)!BEGINNING WITH THE EFFECTIVE DA!BEGINNING WITH THE EFFECTIV (1)!BEGINNING WITH THE EFFECTIV (2)!BEGINNING WITH THE EFFECTIV (3)!BEGINNING WITH THE EFFECTIV (4)!BEGINNING WITH THE EFFECTIV (5)!BEGINNING WITH THE EFFECTIV (6)!BEGINNING WITH THE EFFECTIV (7)!BEGINNING WITH THE EFFECTIV (8)!ARTICLE G2 KEY PERSONNEL HHSAR !NOTE When additional funding is!ARTICLE H6 CONTINUED BAN ON FUN!ARTICLE H8 PRIVACY ACT HHSAR 35!CERTIFICATIONS PURSUANT TO 18 UU } $ } } 2      ARGOS THERAPEUTICS INC 10-K 03/16/20171)CERTIFICATIONS PURSUANT TO 18 U.S.C. 1350 By:!/S/ RICHARD D. KATZ, M.D.   Richard D. Katz, M.D.  2 *Vice President and Chief Financial Officer   March 16, 2017  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&@wk_SZNB=PF0*8X> @ Root Entry FBook  w  !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}~      !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}~      !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}~      !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}~