Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
*The remainder of this cover page shall
be filled out for a reporting person’s initial filing of this form with respect to the subject class of securities, and for
any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder
of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of
1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions
of the Act.
CUSIP No. 040221103
Page
2
of 16
|
|
1.
|
Name
of Reporting Person
|
|
I.R.S. Identification
No. of Above Person (Entities Only)
|
|
|
|
Intersouth
Affiliates V, L.P.
|
|
|
2.
|
Check
the Appropriate Box if a Member of a Group
|
|
|
|
Not
Applicable
|
|
(a)
¨
|
|
(b)
¨
|
|
|
3.
|
SEC
Use Only
|
|
|
|
|
4.
|
Citizenship
or Place of Organization
|
|
|
|
Delaware
|
|
|
Number
of
Shares
Beneficially
Owned
By
Each
Reporting
Person
with
|
5.
|
Sole
Voting Power
|
|
|
|
0
|
|
|
6.
|
Shared
Voting Power
|
|
|
|
32,999
|
|
|
7.
|
Sole
Dispositive Power
|
|
0
|
|
|
8.
|
Shared
Dispositive Power
|
|
|
|
32,999
|
9.
|
Aggregate Amount Beneficially Owned by Each
|
|
|
|
32,999
|
|
|
10.
|
Check
Box if the Aggregate Amount in Row (9) Excludes Certain Shares
|
|
|
|
Not Applicable
|
|
|
11.
|
Percent of Class Represented by Amount in Row (9)
|
|
|
|
Less than 1%
|
|
|
12.
|
Type of Reporting Person
|
|
|
|
PN
|
|
|
CUSIP No. 040221103
Page
3
of 16
|
|
1.
|
Name of Reporting Person
|
|
I.R.S. Identification No. of Above Person (Entities Only)
|
|
|
|
Intersouth Partners V, L.P.
|
|
|
2.
|
Check the Appropriate Box if a Member of a Group
|
|
|
|
Not Applicable
|
|
(a)
¨
|
|
(b)
¨
|
|
|
3.
|
SEC Use Only
|
|
|
|
|
4.
|
Citizenship or Place of Organization
|
|
|
|
Delaware
|
|
|
Number of
Shares
Beneficially
Owned By
Each Reporting
Person with
|
5.
|
Sole Voting Power
|
|
|
|
0
|
|
|
6.
|
Shared Voting Power
|
|
|
|
721,883
|
|
|
7.
|
Sole Dispositive Power
|
|
|
|
0
|
|
|
8.
|
Shared Dispositive Power
|
|
|
|
721,883
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
|
|
|
721,883
|
|
|
10.
|
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
|
|
|
|
Not Applicable
|
|
|
11.
|
Percent of Class Represented by Amount in Row (9)
|
|
|
|
1.7%
|
|
|
12.
|
Type of Reporting Person
|
|
|
|
PN
|
|
|
CUSIP No. 040221103
Page
4
of 16
|
|
1.
|
Name of Reporting Person
|
|
I.R.S. Identification No. of Above Person (Entities Only)
|
|
|
|
Intersouth Associates V LLC
|
|
|
2.
|
Check the Appropriate Box if a Member of a Group
|
|
|
|
Not Applicable
|
|
(a)
¨
|
|
(b)
¨
|
|
|
3.
|
SEC Use Only
|
|
|
|
|
4.
|
Citizenship or Place of Organization
|
|
|
|
Delaware
|
|
|
Number of
Shares
Beneficially
Owned By
Each Reporting
Person with
|
5.
|
Sole Voting Power
|
|
|
|
0
|
|
|
6.
|
Shared Voting Power
|
|
|
|
754,882
|
|
|
7.
|
Sole Dispositive Power
|
|
|
|
0
|
|
|
8.
|
Shared Dispositive Power
|
|
|
|
754,882
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
|
|
|
754,882
|
|
|
10.
|
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
|
|
|
|
Not Applicable
|
|
|
11.
|
Percent of Class Represented by Amount in Row (9)
|
|
|
|
1.8%
|
|
|
12.
|
Type of Reporting Person
|
|
|
|
OO
|
|
|
CUSIP No. 040221103
Page
5
of 16
|
|
1.
|
Name of Reporting Person
|
|
I.R.S. Identification No. of Above Person (Entities Only)
|
|
|
|
Intersouth Partners IV, L.P.
|
|
|
2.
|
Check the Appropriate Box if a Member of a Group
|
|
|
|
Not Applicable
|
|
(a)
¨
|
|
(b)
¨
|
|
|
3.
|
SEC Use Only
|
|
|
|
|
4.
|
Citizenship or Place of Organization
|
|
|
|
Delaware
|
Number of
Shares
Beneficially
Owned By
Each Reporting
Person with
|
5.
|
Sole Voting Power
|
|
|
|
0
|
|
|
6.
|
Shared Voting Power
|
|
|
|
315,094
|
|
|
7.
|
Sole Dispositive Power
|
|
|
|
0
|
|
|
8.
|
Shared Dispositive Power
|
|
|
|
315,094
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
|
|
|
315,094
|
|
|
10.
|
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
|
|
|
|
Not Applicable
|
|
|
11.
|
Percent of Class Represented by Amount in Row (9)
|
|
|
|
Less than 1%
|
|
|
12.
|
Type of Reporting Person
|
|
|
|
PN
|
|
|
CUSIP No. 040221103
Page
6
of 16
|
|
1.
|
Name of Reporting Person
|
|
I.R.S. Identification No. of Above Person (Entities Only)
|
|
|
|
Intersouth Associates IV LLC
|
|
|
2.
|
Check the Appropriate Box if a Member of a Group
|
|
|
|
Not Applicable
|
|
(a)
¨
|
|
(b)
¨
|
|
|
3.
|
SEC Use Only
|
|
|
|
|
4.
|
Citizenship or Place of Organization
|
|
|
|
Delaware
|
Number of
Shares
Beneficially
Owned By
Each Reporting
Person with
|
5.
|
Sole Voting Power
|
|
|
|
0
|
|
|
6.
|
Shared Voting Power
|
|
|
|
315,094
|
|
|
7.
|
Sole Dispositive Power
|
|
|
|
0
|
|
|
8.
|
Shared Dispositive Power
|
|
|
|
315,094
|
9.
|
Aggregate
Amount Beneficially Owned by Each Reporting Person
|
|
|
|
315,094
|
|
|
10.
|
Check
Box if the Aggregate Amount in Row (9) Excludes Certain Shares
|
|
|
|
Not
Applicable
|
|
|
11.
|
Percent
of Class Represented by Amount in Row (9)
|
|
|
|
Less than
1%
|
|
|
12.
|
Type
of Reporting Person
|
|
|
|
OO
|
|
|
CUSIP No. 040221103
Page
7
of 16
|
|
1.
|
Name of Reporting Person
|
|
I.R.S. Identification No. of Above Person (Entities Only)
|
|
|
|
Mitch Mumma
|
|
|
2.
|
Check the Appropriate Box if a Member of a Group
|
|
|
|
Not Applicable
|
|
(a)
¨
|
|
(b)
¨
|
|
|
3.
|
SEC Use Only
|
|
|
|
|
4.
|
Citizenship or Place of Organization
|
|
|
|
United States of America
|
Number of
Shares
Beneficially
Owned By
Each Reporting
Person with
|
5.
|
Sole Voting Power
|
|
|
|
0
|
|
|
6.
|
Shared Voting Power
|
|
|
|
1,069,976
|
|
|
7.
|
Sole Dispositive Power
|
|
|
|
0
|
|
|
8.
|
Shared Dispositive Power
|
|
|
|
1,069,976
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
|
|
|
1,069,976
|
|
|
10.
|
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
|
|
|
|
Not Applicable
|
|
|
11.
|
Percent of Class Represented by Amount in Row (9)
|
|
|
|
2.6%
|
|
|
12.
|
Type of Reporting Person
|
|
|
|
IN
|
|
|
CUSIP No. 040221103
Page
8
of 16
|
|
1.
|
Name of Reporting Person
|
|
I.R.S. Identification No. of Above Person (Entities Only)
|
|
|
|
Dennis Dougherty
|
|
|
2.
|
Check the Appropriate Box if a Member of a Group
|
|
|
|
Not Applicable
|
|
(a)
¨
|
|
(b)
¨
|
|
|
3.
|
SEC Use Only
|
|
|
|
|
4.
|
Citizenship or Place of Organization
|
|
|
|
United States of America
|
Number of
Shares
Beneficially
Owned By
Each Reporting
Person with
|
5.
|
Sole Voting Power
|
|
|
|
0
|
|
|
6.
|
Shared Voting Power
|
|
|
|
1,069,976
|
|
|
7.
|
Sole Dispositive Power
|
|
|
|
0
|
|
|
8.
|
Shared Dispositive Power
|
|
|
|
1,069,976
|
9.
|
Aggregate Amount Beneficially Owned by Each Reporting Person
|
|
|
|
1,069,976
|
|
|
10.
|
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares
|
|
|
|
Not Applicable
|
|
|
11.
|
Percent of Class Represented by Amount in Row (9)
|
|
|
|
2.6%
|
12.
|
Type of Reporting Person
|
|
|
|
IN
|
|
|
CUSIP No. 040221103
Page
9
of 16
|
|
Argos Therapeutics, Inc.
|
Item 1(b)
|
Address
of Issuer’s Principal Executive Offices
|
4233 Technology Drive, Durham, NC 27704.
|
Item 2 (a)
|
Name of
Person Filing
|
This Amendment No. 1 to Schedule 13G is being
filed by Intersouth Partners V, L.P., Intersouth Affiliates V, L.P., Intersouth Associates V LLC, Intersouth Partners
IV, L.P., Intersouth Associates IV LLC, Mitch Mumma and Dennis Dougherty (together, the
“
Reporting Persons
”).
|
Item 2(b)
|
Address
of Principal Business Office, or if none, Residence
|
102 City Hall Plaza, Suite 200,
Durham, NC 27701.
Dennis Dougherty and
Mitch Mumma are United States citizens. Each of Intersouth Partners V, L.P., Intersouth Affiliates V, L.P. and Intersouth Partners
IV, L.P. is a limited partnership organized under the laws of the State of Delaware. Intersouth Associates V LLC and Intersouth
Associates IV LLC are limited liability companies organized under the laws of the State of Delaware.
|
Item 2(d)
|
Title of Class of Securities
|
Common Stock, par value $0.001 per
share.
040221103
|
Item 3.
|
Filing pursuant
to Rules 13d-1(b) or 13d-2(b) or (c)
|
Not Applicable
CUSIP No. 040221103
Page
10
of 16
|
|
(a) The
Reporting Persons are the beneficial owners of an aggregate of 1,069,976 shares of Common Stock, which represents 2.6% of the Issuer’s
outstanding Common Stock based upon 41,246,954 shares outstanding as reported on the Issuer’s Form 10-Q filed with the Securities
and Exchange Commission on November 14, 2016. The Reporting Persons’ beneficial ownership consists of (i) 32,999 shares of
Common Stock held by Intersouth Affiliates V, L.P., (ii) 721,883 shares of Common Stock held by Intersouth Partners V, L.P., and
(iii) 315,094 shares of Common Stock held by Intersouth Partners IV, L.P.
Intersouth Associates V LLC, the general
partner of each of Intersouth Partners V, L.P. and Intersouth Affiliates V, L.P., and Intersouth Associates IV LLC, the general
partner of Intersouth Partners IV, L.P., may be deemed to share voting and dispositive power over the shares held by each of Intersouth
Affiliates V, L.P. and Intersouth Partners V, L.P. and Intersouth Partners IV, L.P., respectively. Dennis Dougherty and Mitch
Mumma are both Member Managers of Intersouth Associates V LLC, and Intersouth Associates IV LLC, and share voting and investment
power over the shares held by Intersouth Affiliates V, L.P., Intersouth Partners V, L.P. and Intersouth Partners IV, L.P.
Intersouth
Affiliates V, L.P.: less than 1%
Intersouth
Partners V, L.P.: 1.7%
Intersouth
Associates V LLC: 1.8%
Intersouth
Partners IV, L.P.: less than 1%
Intersouth
Partners IV LLC: less than 1%
Mitch Mumma:
2.6%
Dennis Dougherty:
2.6%
|
(c)
|
Number of shares as to which such person has:
|
Sole power to vote or to direct the vote: 0
Shared power to vote or to direct the vote:
Intersouth Affiliates
V, L.P.: 32,999
Intersouth Partners
V, L.P.: 721,883
Intersouth Associates
V LLC: 754,882
Intersouth Partners
IV, L.P.: 315,094
Intersouth Partners
IV LLC: 315,094
Mitch Mumma:
1,069,976
Dennis Dougherty:
1,069,976
Sole power
to dispose or to direct the disposition of: 0
Shared power
to dispose or to direct the disposition of:
Intersouth Affiliates
V, L.P.: 32,999
Intersouth Partners
V, L.P.: 721,883
Intersouth Associates
V LLC: 754,882
Intersouth Partners
IV, L.P.: 315,094
Intersouth Partners
IV LLC: 315,094
Mitch Mumma:
1,069,976
Dennis Dougherty:
1,069,976
CUSIP No. 040221103
Page
11
of 16
|
|
|
Item 5.
|
Ownership
of Five Percent or Less of a Class
|
If this statement is being filed to report the fact
that as of the date hereof the Reporting Persons have ceased to be the beneficial owners of more than five percent of the class
of securities, check the following
x
.
|
Item 6.
|
Ownership
of More than Five Percent on Behalf of Another Person
|
Not Applicable
|
Item 7.
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on By
the Parent Holding Company
|
Not Applicable
|
Item 8.
|
Identification
and Classification of Members of the Group
|
Not Applicable
|
Item 9.
|
Notice of
Dissolution of Group
|
Not Applicable
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing
or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant
in any transaction having that purpose or effect.
Exhibit Index
Exhibit A – Joint Filing Agreement
CUSIP No. 040221103
Page
12
of 16
|
|
SIGNATURE
After reasonable inquiry and to the best
of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
|
|
|
|
Date: February 13, 2017
|
|
|
|
|
|
|
|
|
|
|
|
|
/s/ Mitch Mumma
|
|
|
Mitch Mumma
|
|
|
|
|
|
|
|
|
|
|
/s/
Dennis Dougherty
|
|
|
Dennis Dougherty
|
|
|
|
|
|
|
|
|
|
|
INTERSOUTH AFFILIATES V, L.P.
|
|
|
|
|
|
|
By: Intersouth Associates V LLC,
|
|
|
its general partner
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
|
|
|
|
|
|
|
|
|
INTERSOUTH PARTNERS V, L.P.
|
|
|
|
|
|
|
By: Intersouth Associates V LLC,
|
|
|
its general partner
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
|
|
|
|
CUSIP No. 040221103
Page
13
of 16
|
|
|
|
|
|
|
INTERSOUTH ASSOCIATES V LLC
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
|
|
|
|
|
|
|
|
|
INTERSOUTH PARTNERS IV, L.P.
|
|
|
|
|
|
|
By: Intersouth Associates IV LLC,
|
|
|
its general partner
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
|
|
|
|
|
|
|
|
|
INTERSOUTH ASSOCIATES IV LLC
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
CUSIP No. 040221103
Page
14
of 16
|
|
Exhibit A
Agreement
Regarding the Joint Filing of Amendment No. 1 to Schedule 13G
The undersigned, being duly authorized
thereunto, hereby execute this agreement as an exhibit to this Amendment No. 1 to Schedule 13G to evidence the agreement of
the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file
this Schedule jointly on behalf of each such party.
Date: February 13, 2017
[
Signature Pages Follow
]
CUSIP No. 040221103
Page
15
of 16
|
|
IN WITNESS WHEREOF, the parties hereto have
executed and delivered this Agreement as of the date first written above.
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
/s/ Mitch Mumma
|
|
|
Mitch Mumma
|
|
|
|
|
|
|
|
|
|
|
/s/
Dennis Dougherty
|
|
|
Dennis Dougherty
|
|
|
|
|
|
|
|
|
|
|
INTERSOUTH AFFILIATES V, L.P.
|
|
|
|
|
|
|
By: Intersouth Associates V LLC,
|
|
|
its general partner
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
|
|
|
|
|
|
|
|
|
INTERSOUTH PARTNERS V, L.P.
|
|
|
|
|
|
|
By: Intersouth Associates V LLC,
|
|
|
its general partner
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
|
|
|
|
CUSIP No. 040221103
Page
16
of 16
|
|
|
|
|
|
|
INTERSOUTH ASSOCIATES V LLC
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
|
|
|
|
|
|
|
|
|
INTERSOUTH PARTNERS IV, L.P.
|
|
|
|
|
|
|
By: Intersouth Associates IV LLC,
|
|
|
its general partner
|
|
|
|
|
|
|
|
|
|
|
By:
|
/s/ Mitch Mumma
|
|
|
Name:
|
Mitch Mumma
|
|
|
Title:
|
Member Manager
|
|
|
|
|
|
|
|
|
|
|
INTERSOUTH ASSOCIATES IV LLC
|
|
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By:
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/s/ Mitch Mumma
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Name:
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Mitch Mumma
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Title:
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Member Manager
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