ࡱ> st 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#܈ ~~ ؈ ~~7#܈ ~~<#܈ ~~4#܈ ~~83ffff̙̙3f3fff3f3f33333f33Beneficial OwnershipSummary Compensation&T)QUESTIONS AND ANSWERS ABOUT THE6Beneficial Ownership (1)<Beneficial Ownership (2)NNO TITLE&cInformation about our DirectorsoAudit Fees and Services&y2015 Compensation of NonEmploye&2015 Compensation of NonEmp (1)&؏Executive Officers of Argos The&3Participation in our PIPE FinanSummary Compensation (1)%Summary Compensation (2) YOutstanding Equity Awards l  H.   dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Summary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } U5}  H     ARGOS THERAPEUTICS INCDEF 14A 04/29/2016Beneficial Ownership.&QUESTIONS AND ANSWERS ABOUT THE ANNUAL~   MEETING AND VOTING  0 (SECURITY OWNERSHIP OF CERTAIN BENEFICIAL~  OWNERS AND MANAGEMENT  4,Section 16(a) Beneficial Ownership Reporting~ " Compliance*"PROPOSAL 1 - ELECTION OF DIRECTORS~ &,$Directors and Nominees for Directors~ &'Information About our Directors~ &3+Nominees for Election as Class II Directors~ &&Directors Continuing in Office~ *4,PROPOSAL 2 - RATIFICATION OF THE APPOINTMENT~ 23+OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRMAudit Fees and Services~ 2Dl}qe%t.nVpX !"#$%&'()*+,-./0123456789:;<=>?  !AUDIT COMMITTEE REPORT~ !6""/#'PROPOSAL 3 ? APPROVE POTENTIAL ISSUANCE~ #:$AND SALE%%&Overview~ &:''%(Registration Rights Agreement~ (>))* Voting Rights~ *>++/,'Nasdaq Stockholder Approval Requirement~ ,>--.CORPORATE GOVERNANCE~ .F//0General~ 0F11'2Corporate Governance Guidelines~ 2F33"4Board Leadership Structure~ 4F556Director Independence~ 6J77$8Board and Committee Meetings~ 8N99#:Director Nomination Process~ :V;;(< Communications from Stockholders~ <V==>Oversight of Risk~ >Z??Dl_K3k*ZBya,@ABCDEFG+@#Code of Business Conduct and Ethics~ @ZAABCD$E____________________________1F)Created by Morningstar Document Research.0G(http://documentresearch.morningstar.com/_=PF0*8X> @GGFFEE l  +#&(  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial Ownership!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } U5} $ +     ARGOS THERAPEUTICS INCDEF 14A 04/29/2016Summary Compensation- %Compensation Committee Interlocks and~ Z Insider Participation   Director Compensation~ Z  1)Executive Officers of Argos Therapeutics,~ b Inc.)!TRANSACTIONS WITH RELATED PERSONS~ j+#Participation in our PIPE Financing~ j"Indemnification Agreements~ r2*Policies and Procedures for Related Person~ r TransactionsEXECUTIVE COMPENSATION~ z"Summary Compensation Table~ z-%Outstanding Equity Awards at December~ 31, 2015Dl}qeMK;#{G/s?' !"#$%&'()*  4!,Agreements with our Named Executive Officers~ !""#401(k) Retirement Plan~ #$$%STOCKHOLDER PROPOSALS~ %&'$(____________________________1))Created by Morningstar Document Research.0*(http://documentresearch.morningstar.com/rZB=PF0*8X> @**))(( l  &4&6  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary CompensationBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } U} : &     ARGOS THERAPEUTICS INCDEF 14A 04/29/2016A9QUESTIONS AND ANSWERS ABOUT THE ANNUAL MEETING AND VOTING Q.0(Who can vote at the 2016 annual meeting?   A.2 *To be entitled to vote, you must have been 8 0a stockholder of record at the close of business 2 *on April 15, 2016, the record date for our 2 *2016 annual meeting. There were 25,640,689.&shares of our common stock outstanding7/and entitled to vote at the 2016 annual meetingas of the record date. Q.!How many votes do I have? A.3+Each share of our common stock that you own1)as of the record date will entitle you to1)one vote on each matter considered at the2016 annual meeting. Q.How do I vote? A.6.If you are the ?record holder? of your shares,/'meaning that your shares are registered3+in your name in the records of our transfer1)agent, Computershare Trust Company, N.A.,2*you may vote your shares at the meeting inDXldXL@ZQ# {:u- !"#$% & person or by proxy as follows:!"$#____________________________1$)Created by Morningstar Document Research.0%(http://documentresearch.morningstar.com/Wd=PF0*8X> @%%$$## l   <  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } 1} $} $      ARGOS THERAPEUTICS INCDEF 14A 04/29/2016Beneficial Ownership ?&each of our current directors;  $ ____________________________1 )Created by Morningstar Document Research.0 (http://documentresearch.morningstar.com/ }qe" =PF0*8X> @ l  "4M N  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } 1} $ } y} $ }  } $ "                                 ARGOS THERAPEUTICS INCDEF 14A 04/29/2016Beneficial Ownership,$Name and Address of Beneficial Owner Number ofPercentage of Shares   Shares  Beneficially Owned    Beneficially   Owned 5% Stockholders:        , $Pharmstandard International S.A. (1)  ~ *+    33333A@ %,$Entities affiliated with Forbion (2)~ Q.@"Wasatch Advisors, Inc. (3)~ Zffffff#@1)TVM V Life Science Ventures GmbH & Co. KG~ hm)\(@~ /'Directors and Named Executive Officers:Jeffrey D. Abbey (5)~ {$(\@ Hubert Birner, Ph.D. (6)~ "*nRQ@Robert Carey (7)~  * Andrei Petrov, Ph.D. (8)~ ~ *,$Sander van Deventer, M.D., Ph.D. (9)~ {.@Philippe Van Holle (10)~ W *%Alexey Vinogradov, Ph.D. (11)~  *( Charles A. Nicolette, Ph.D. (12)~ F4?!Joan C. Winterbottom (13)~ B */'All executive officers and directors as~ ORN@ %!a group (12 persons) (14)$____________________________D l}qed;&cU:/jF! ! 1 )Created by Morningstar Document Research.0!(http://documentresearch.morningstar.com/=PF0*8X> @J !!      l  8/[c  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2)!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } U} $ } 8 8     ARGOS THERAPEUTICS INCDEF 14A 04/29/2016NO TITLE~ 0(Consists of (i) 110,196 shares of common  / 'stock and (ii) 487,500 shares of common  / 'stock issuable upon exercise of options  1 )that are exercisable as of March 23, 2016  1 )or will become exercisable within 60 days   after such date.~ 2*Consists of (i) 1,792,561 shares of common6.stock beneficially owned by TVM V as described4,in footnote (4) above and (ii) 12,375 shares.&of common stock issuable upon exercise3+of options that are exercisable as of March2*23, 2016 or will become exercisable within 60 days after such date.~ 0(Consists of 1,833 shares of common stock.&issuable upon exercise of options that4,are exercisable as of March 23, 2016 or will/'become exercisable within 60 days after such date.~ 4,Consists of (i) 5,000 shares of common stock0(owned directly and (ii) 12,375 shares of.&common stock issuable upon exercise ofD l}q#@K_bz/ !"#$%&'()*+,-./01234567  0 (options that are exercisable as of March!!2!*23, 2016 or will become exercisable within"" "60 days after such date.###~ $$2$*Consists of (i) 3,993,198 shares of common%%4%,stock beneficially owned by Forbion entities&&3&+as described in footnote (2) above and (ii)''.'&12,375 shares of common stock issuable((5(-upon exercise of options that are exercisable))7)/as of March 23, 2016 or will become exercisable**'*within 60 days after such date.+++,,,~ --/-'Consists of (i) 45,100 shares of common..3.+stock and (ii) 9,625 shares of common stock//./&issuable upon exercise of options that0040,are exercisable as of March 23, 2016 or will11/1'become exercisable within 60 days after222 such date.34$5____________________________16)Created by Morningstar Document Research.07(http://documentresearch.morningstar.com/4f*f|)Qh=PF0*8X> @776655 l  ,o  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLEAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } *} $ } $} $ } 0.} $                          ARGOS THERAPEUTICS INCDEF 14A 04/29/2016'Information about our Directors Name AgePosition            Jeffrey Abbey  ~    . &President, Chief Executive Officer and         Director# Hubert Birner, Ph.D. (1)(3)  ~    * "Chairman of the Board of Directors Robert Carey (1)~ Director#Andrei Petrov, Ph.D. (2)(3)~ Director+#Sander van Deventer M.D., Ph.D. (2)~ Director!Philippe Van Holle (1)(2)~ Director Alexey Vinogradov, Ph.D.~ Director$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/4s~rfZ]3 =PF0*8X> @* l  Lx  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our Directors!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } '} $ }  } $ } $} $                     ARGOS THERAPEUTICS INCDEF 14A 04/29/2016Audit Fees and Services~ ~~ z Audit Fees (1) ~ j8  ~ 1  Audit-Related Fees (2)   ?    ?   Tax Fees (3)  ~ ~1    ?  All Other Fees (4)   ?    ? (  Total Fees for Services Provided ~ i  ~ 1 $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/*`hznb"8==PF0*8X> @J      l  ׅ  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } } $ }  } $ }  }  $ }  } $                         ARGOS THERAPEUTICS INCDEF 14A 04/29/20163+2015 Compensation of Non-Employee Directors Name#Fees Earned or Paid in CashOption Awards (1)   Total  ~  ~  ~   Hubert Birner  ~ E   ~    ~ rE  Robert Carey (2)  ~    ~     ~ r  Jean Lamarre (3)  ~ F   ~    ~    Andrei Petrov  ~    ~    ~ — Brian Underdown (4)~ ~   ~  ξ Sander van Deventer~ "~   ~  " Philippe Van Holle~ "~   ~  Ҿ Alexey Vinogradov~ "~   ~  " $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/2 rfZNk X?=PF0*8X> @J       l  E  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } } $ }  } $      ARGOS THERAPEUTICS INCDEF 14A 04/29/20163+2015 Compensation of Non-Employee Directors Name Option Awards  Hubert Birner  ~     Robert Carey  ~     Andrei Petrov  ~     Brian Underdown  ~     Sander van Deventer  ~    Philippe Van Holle~  Alexey Vinogradov~ $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.rfZN ^N}U=PF0*8X> @" l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } %} $ } $} $ } $4} $                         ARGOS THERAPEUTICS INCDEF 14A 04/29/20160(Executive Officers of Argos Therapeutics 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 Development' Frederick M. Miesowicz, Ph.D.**  ~    2 *Chief Operating Officer and Vice President of Manufacturing!Lee F. Allen, M.D., Ph.D.~ Chief Medical OfficerLori R. Harrelson~ !Vice President of FinanceJoan C. Winterbottom~ %Chief Human Resources Officer$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/2ui]QaEo=PF0*8X> @* l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos TheSummary Compensation (1)Summary Compensation (2)Outstanding Equity AwardsU } 2} $ } y} $ } y} $ } y} $ } y} $      ARGOS THERAPEUTICS INCDEF 14A 04/29/2016+#Participation in our PIPE Financing NameShares PurchasedShares of Common Stock  Purchase Shares to be PurchasedShares of Common StockPurchase   in the Initial Tranche   Underlying + #Price of Initial Tranche Securities  in the Second Tranche   Underlying * "Price of Second Tranche Securities       Warrants Purchased          Warrants to be Purchased       in the Initial           in the Second       Tranche          Tranche(  Pharmstandard International S.A.  ~ l   ~ >Q  ~ CQ   ~ vx   ~ Zz  ~ y ( Entities affiliated with Forbion~ F5~ \( ~  $  ~ P~ r<~  t1)TVM V Life Science Ventures GmbH & Co. KG~ F6 ~ h ~   =  ~ f~  ~ z[2*Entities affiliated with Wasatch Advisors,~ ~ k ~  "  ~ Z~ B"~ VC% Inc.$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0 znbVT4>W}=jZN&=PF0*8X> @                 l  ij  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (2)Outstanding Equity AwardsU } 1} $ } 1      ARGOS THERAPEUTICS INCDEF 14A 04/29/2016Summary Compensation ?1)Jeffrey D. Abbey, our president and chief   executive officer;  $ ____________________________1 )Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/"}qe=PF0*8X> @ l  j  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Outstanding Equity AwardsU } 2} $ }  } $ }  }  $ }  } $ }  } $ }  } $ } y} $      ARGOS THERAPEUTICS INCDEF 14A 04/29/2016Summary Compensation#Name and Principal Position YearSalary   Bonus Option All Other Total ($)      ~   ($) (1)  Awards   Compensation               ($) (2)  ($) (3) Jeffrey D. Abbey (4)  ~ ~   ~ Bw   ~ \    ~ +   ~ 6   ~ WT - %President and Chief Executive Officer  ~ z   ~ 2.   ~ b    ~ z   ~ A   ~ ? " Charles A Nicolette, Ph.D.  ~ ~   ~ "   ~ .   ~ A   ~     ~ 6 2*Vice President of Research and Development~ z~   ~  "b  ~  ~ ~ !$and Chief Scientific Officer Joan C. Winterbottom (5)~ ~~ 2  ~  x  ~ F"~ 2#~ 7( Chief of Human Resources Officer~ z ?    ?   ? ? ?$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/2 }qeMq!=PF0*8X> @z       l  &  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/??Beneficial OwnershipSummary Compensation!QUESTIONS AND ANSWERS ABOUT THEBeneficial Ownership (1)Beneficial Ownership (2) NO TITLE!Information about our DirectorsAudit Fees and Services!2015 Compensation of NonEmploye!2015 Compensation of NonEmp (1)!Executive Officers of Argos The!Participation in our PIPE FinanSummary Compensation (1)Summary Compensation (2)U } } $ }  } U} $ }  } U} $ } } U} $ } y } $ &     ARGOS THERAPEUTICS INCDEF 14A 04/29/2016!Outstanding Equity Awards NameNumber of SecuritiesNumber of Securities  Option Option   Underlying Unexercised  Underlying Unexercised  Exercise   Expiration   Options (#) Exercisable ! Options (#) Unexercisable   Price ($)  Date Jeffrey D. Abbey  ~ ~~    ?    @~    7/2/18    ~ *Y~    ?    @~    12/5/18    ~ ~    ?    @~    12/10/20 ~ r~  ?   @~   4/10/22~ ~  ?   @~   12/11/22~ :F ~ ~ J ~    HzG@  11/1/23~  ~ ~ ~    HzG@  11/11/23~ .C~ ~ VM~    \(\@  7/27/24 ?~ ~ X~    \(\@  7/27/24 ?~ ~ S~    333333@  6/17/25Charles A. Nicolette~ ~  ?   @~   7/2/18~ \~  ?   @~   12/5/18~ n~  ?   @~   12/10/20~ ~  ?   @~   4/10/22~ Fd~  ?   @~   12/11/22~ v#~ ~ :~    HzG@  11/1/23~ ~ ~ B~    HzG@  11/11/23~ c~ ~ ~    \(\@  7/27/24 ?~ ~    \(\@  7/27/24 ?~ ~    333333@  6/17/25Joan C. Winterbottom ?~ ~    Q"@  2/25/25Dlxl`iz5Tt>\{ !"#$%    ?   ~ 8~    ףp= @    9/18/25 !"$#____________________________1$)Created by Morningstar Document Research.0%(http://documentresearch.morningstar.com/d" =PF0*8X> @z%%$$##        Root Entry FBook    !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqr