Argenx SE F-3ASR, filed Jul 29, 2021

Argenx SE (ARGX)

F-3ASR 2021-07-29

View Original

Added on October 17, 2026

Search and read filings like this one from Claude or ChatGPT with the SEC filings MCP server →

	Page
ABOUT THIS PROSPECTUS		1
ABOUT THE COMPANY		2
RISK FACTORS		2
CAUTIONARY STATEMENT REGARDING FORWARD-LOOKING STATEMENTS		2
CAPITALIZATION		4
PLAN OF DISTRIBUTION		4
DESCRIPTION OF SHARE CAPITAL		6
DESCRIPTION OF SECURITIES		27
SELLING SECURITYHOLDERS		40
USE OF PROCEEDS		40
TAXATION		40
ENFORCEABILITY OF CERTAIN CIVIL LIABILITIES		41
LEGAL MATTERS		42
EXPERTS		42
EXPENSES		42
WHERE YOU CAN FIND MORE INFORMATION		42
INCORPORATION BY REFERENCE		43

SEC registration fee	$	(1)
FINRA filing fee	$	225,500
Legal fees and expenses	$	(1)
Accounting fees and expenses	$	(1)
Miscellaneous expenses	$	(1)
Total	$	(1)

	Exhibit Number			Description
	1.1*			Form of Underwriting Agreement.
	4.1			Articles of Association, as amended (English translation)
	4.2			Form of Deposit Agreement and Form of American Depositary Receipt, incorporated by reference to Exhibits 4.1 and 4.2 to the Registrant’s Registration Statement on Form F-1/A (File No. 333-217417) filed with the SEC on May 16, 2017.
	4.3*			Form of Warrant Agreement (including Warrant Certificate).
	4.4*			Form of Unit Agreement.
	4.5			Form of Senior Indenture.
	4.6			Form of Subordinated Indenture.
	5.1			Opinion of Goodwin Procter LLP.
	5.2			Opinion of Freshfields Bruckhaus Deringer LLP.
	23.1			Consent of Deloitte Accountants B.V.
	23.2			Consent of Goodwin Procter LLP (included in Exhibit 5.1).
	23.3			Consent of Freshfields Bruckhaus Deringer LLP (included in Exhibit 5.2).
	24.1			Powers of Attorney (included on signature page).
	25.1**			Form T-1 Statement of Eligibility of Trustee for Senior Indenture under the Trust Indenture Act of 1939.
	25.2**			Form T-1 Statement of Eligibility of Trustee for Subordinated Indenture under the Trust Indenture Act of 1939.

	Signature			Title
	/s/ TIM VAN HAUWERMEIREN Tim Van Hauwermeiren			Chief Executive Officer and Director (Principal Executive Officer)
	/s/ KARL GUBITZ Karl Gubitz			Chief Financial Officer (Principal Financial and Accounting Officer)
	/s/ PETER K.M. VERHAEGHE, PH.D. Peter K.M. Verhaeghe, Ph.D.			Chairperson of the Board
	/s/ YVONNE GREENSTREET Yvonne Greenstreet			Director
	/s/ WERNER LANTHALER, PH.D. Werner Lanthaler, Ph.D.			Director (and Vice Chairperson)
	/s/ J. DONALD DEBETHIZY, PH.D. J. Donald deBethizy, Ph.D.			Director

	Signature			Title
	/s/ PAMELA KLEIN, M.D. Pamela Klein, M.D.			Director
	/s/ A.A. ROSENBERG A.A. Rosenberg			Director
	/s/ JAMES DALY James Daly			Director

	Puglisi & Associates
	By: /s/ DONALD J. PUGLISI Name: Donald J. Puglisi Title: Managing Director			Authorized Representative in the United States

TABLE OF CONTENTS
		Page
ARTICLE ONE - DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION		1
SECTION 101.	Definitions	1
SECTION 102.	Compliance Certificates and Opinions	9
SECTION 103.	Form of Documents Delivered to Trustee	9
SECTION 104.	Acts of Holders	9
SECTION 105.	Notices, etc., to Trustee and Company	10
SECTION 106.	Notice to Holders; Waiver	11
SECTION 107.	Counterparts; Effect of Headings and Table of Contents	12
SECTION 108.	Successors and Assigns	12
SECTION 109.	Severability Clause	12
SECTION 110.	Benefits of Indenture	12
SECTION 111.	Governing Law	12
SECTION 112.	Legal Holidays	12
SECTION 113.	Limited Liability; Immunity of Shareholders, Directors, Officers and Agents of the Company	12
SECTION 114.	Conflict with Trust Indenture Act	12

ARTICLE TWO - SECURITIES FORMS		13
SECTION 201.	Forms of Securities	13
SECTION 202.	Form of Trustee’s Certificate of Authentication	13
SECTION 203.	Securities Issuable in Global Form	13

ARTICLE THREE - THE SECURITIES		14
SECTION 301.	Amount Unlimited; Issuable in Series	14
SECTION 302.	Denominations	17
SECTION 303.	Execution, Authentication, Delivery and Dating	17
SECTION 304.	Temporary Securities	18
SECTION 305.	Registration, Registration of Transfer, Conversion and Exchange	20
SECTION 306.	Mutilated, Destroyed, Lost and Stolen Securities	22
SECTION 307.	Payment of Interest; Interest Rights Preserved	23
SECTION 308.	Persons Deemed Owners	24
SECTION 309.	Cancellation	25
SECTION 310.	Computation of Interest	25
SECTION 311.	CUSIP Numbers	25

ARTICLE FOUR - SATISFACTION AND DISCHARGE		26
SECTION 401.	Satisfaction and Discharge of Indenture	26
SECTION 402.	Application of Trust Funds	26

ARTICLE FIVE - REMEDIES		27
SECTION 501.	Events of Default	27
SECTION 502.	Acceleration of Maturity; Rescission and Annulment	28
SECTION 503.	Collection of Indebtedness and Suits for Enforcement by Trustee	28
SECTION 504.	Trustee May File Proofs of Claim	29
SECTION 505.	Trustee May Enforce Claims Without Possession of Securities or Coupons	29
SECTION 506.	Application of Money Collected	30
SECTION 507.	Limitation on Suits	30
SECTION 508.	Unconditional Right of Holders to Receive Principal, Premium or Make-Whole Amount, if any, and Interest	30
SECTION 509.	Restoration of Rights and Remedies	30
SECTION 510.	Rights and Remedies Cumulative	31
SECTION 511.	Delay or Omission Not Waiver	31
SECTION 512.	Control by Holders of Securities	31
SECTION 513.	Waiver of Past Defaults	31
SECTION 514.	Waiver of Usury, Stay or Extension Laws	31
SECTION 515.	Undertaking for Costs	32

ARTICLE SIX - THE TRUSTEE		32
SECTION 601.	Notice of Defaults	32
SECTION 602.	Certain Rights of Trustee	32
SECTION 603.	Not Responsible for Recitals or Issuance of Securities	33
SECTION 604.	May Hold Securities	33
SECTION 605.	Money Held in Trust	33
SECTION 606.	Compensation and Reimbursement	34
SECTION 607.	Corporate Trustee Required; Eligibility; Conflicting Interests	34
SECTION 608.	Resignation and Removal; Appointment of Successor	34
SECTION 609.	Acceptance of Appointment by Successor	35
SECTION 610.	Merger, Conversion, Consolidation or Succession to Business	36
SECTION 611.	Appointment of Authenticating Agent	36
SECTION 612.	Certain Duties and Responsibilities of the Trustee	37

ARTICLE SEVEN - HOLDERS’ LISTS AND REPORTS BY TRUSTEE AND COMPANY		38
SECTION 701.	Disclosure of Names and Addresses of Holders	38
SECTION 702.	Reports by Trustee	38
SECTION 703.	Reports by Company	39
SECTION 704.	Company to Furnish Trustee Names and Addresses of Holders	39

ARTICLE EIGHT - CONSOLIDATION, MERGER, SALE, LEASE OR CONVEYANCE		39
SECTION 801	Consolidations and Mergers of Company and Sales, Leases and Conveyances Permitted Subject to Certain Conditions	39
SECTION 802.	Rights and Duties of Successor Corporation	40
SECTION 803.	Officers’ Certificate and Opinion of Counsel	40

ARTICLE NINE - SUPPLEMENTAL INDENTURES		40
SECTION 901.	Supplemental Indentures Without Consent of Holders	40
SECTION 902.	Supplemental Indentures with Consent of Holders	42
SECTION 903.	Execution of Supplemental Indentures	42
SECTION 904.	Effect of Supplemental Indentures	42
SECTION 905.	Conformity with Trust Indenture Act	43
SECTION 906.	Reference in Securities to Supplemental Indentures	43

ARTICLE TEN - COVENANTS		43
SECTION 1001.	Payment of Principal, Premium or Make-Whole Amount, if any; and Interest	43
SECTION 1002.	Maintenance of Office or Agency	43
SECTION 1003.	Money for Securities Payments to Be Held in Trust	44
SECTION 1004.	Existence	45
SECTION 1005.	Statement as to Compliance	45
SECTION 1006.	Waiver of Certain Covenants	45

ARTICLE ELEVEN - REDEMPTION OF SECURITIES		45
SECTION 1101.	Applicability of Article	45
SECTION 1102.	Election to Redeem; Notice to Trustee	45
SECTION 1103.	Selection by Trustee of Securities to Be Redeemed	46
SECTION 1104.	Notice of Redemption	46
SECTION 1105.	Deposit of Redemption Price	47
SECTION 1106.	Securities Payable on Redemption Date	47
SECTION 1107.	Securities Redeemed in Part	48

ARTICLE TWELVE - SINKING FUNDS		48
SECTION 1201.	Applicability of Article	48
SECTION 1202.	Satisfaction of Sinking Fund Payments with Securities	48
SECTION 1203.	Redemption of Securities for Sinking Fund	48

ARTICLE THIRTEEN - REPAYMENT AT THE OPTION OF HOLDERS		49
SECTION 1301.	Applicability of Article	49
SECTION 1302.	Repayment of Securities	49
SECTION 1303.	Exercise of Option	49
SECTION 1304.	When Securities Presented for Repayment Become Due and Payable	50
SECTION 1305.	Securities Repaid in Part	50

ARTICLE FOURTEEN - DEFEASANCE AND COVENANT DEFEASANCE		50
SECTION 1401.	Applicability of Article; Company’s Option to Effect Defeasance or Covenant Defeasance	50
SECTION 1402.	Defeasance and Discharge	51
SECTION 1403.	Covenant Defeasance	51
SECTION 1404.	Conditions to Defeasance or Covenant Defeasance	51
SECTION 1405.	Deposited Money and Government Obligations to Be Held in Trust; Other Miscellaneous Provisions	52

ARTICLE FIFTEEN - MEETINGS OF HOLDERS OF SECURITIES		53
SECTION 1501.	Purposes for Which Meetings May Be Called	53
SECTION 1502.	Call, Notice and Place of Meetings	53
SECTION 1503.	Persons Entitled to Vote at Meetings	53
SECTION 1504.	Quorum; Action	53
SECTION 1505.	Determination of Voting Rights; Conduct and Adjournment of Meetings	54
SECTION 1506.	Counting Votes and Recording Action of Meetings	55

ARTICLE SIXTEEN - SUBORDINATION OF SECURITIES		55
SECTION 1601.	Agreement to Subordinate	55
SECTION 1602.	Payment Over of Proceeds upon Dissolution, Etc	55
SECTION 1603.	No Payment When Senior Indebtedness in Default.	56
SECTION 1604.	Reliance by Senior Indebtedness on Subordination Provisions	57
SECTION 1605.	Subrogation to Rights of Holders of Senior Indebtedness	57
SECTION 1606.	Provisions Solely to Define Relative Rights	57
SECTION 1607.	Trustee to Effectuate Subordination	57
SECTION 1608.	No Waiver of Subordination Provisions	58
SECTION 1609.	Notice to Trustee	58
SECTION 1610.	Reliance on Judicial Order or Certificate of Liquidating Agent	59
SECTION 1611.	Trustee Not Fiduciary for Holders of Senior Indebtedness	59
SECTION 1612.	Rights of Trustee as Holder of Senior Indebtedness; Preservation of Trustee’s Rights	59
SECTION 1613.	Article Applicable to Paying Agents	59

ARTICLE SEVENTEEN - CONVERSION OF SECURITIES		59
SECTION 1701.	Applicability of Article; Conversion Privilege and Conversion Price	59
SECTION 1702.	Exercise of Conversion Privilege	60
SECTION 1703.	Fractions of Shares	61
SECTION 1704.	Adjustment of Conversion Price	61
SECTION 1705.	Notice of Adjustments of Conversion Price	63
SECTION 1706.	Notice of Certain Corporate Action	63
SECTION 1707.	Company to Reserve Ordinary Shares	64
SECTION 1708.	Taxes on Conversion	64
SECTION 1709.	Covenants as to Ordinary Shares	64
SECTION 1710.	Cancellation of Converted Securities	64
SECTION 1711.	Provisions in Case of Consolidation, Merger or Sale of Assets; Special Distributions	64
SECTION 1712.	Trustee Adjustment Disclaimer; Company Determination Final	65
SECTION 1713.	When No Adjustment Required	65
SECTION 1714.	Equivalent Adjustments	66

Trust Indenture Act Section		Indenture Section
§ 310(a)(1)		607
(a)(2)		607
(b)		607, 608
§ 312(c)		701
§ 313(a)		702
(c)		702
§ 314(a)		703
(a)(4)		1005
(c)(1)		102
(c)(2)		102
(e)		102
§ 315(b)		601
§ 316(a) (last sentence) 101(“Outstanding”)
(a)(1)(A)		502, 512
(a)(1)(B)		513
(b)		508
§ 317(a)(1)		503
(a)(2)		504
§ 318(a)		111
(c)		111


	as Trustee

Dated:	By:
		as Authenticating Agent

Dated:	By:
		as Authenticating Agent

	[Name of Person Making Certification]


	(Authorized Signature)
	Name:
	Title:

Article I DEFINITIONS AND INCORPORATION BY REFERENCE		1

Section 1.01	Definitions	1

Section 1.02	Other Definitions	5

Section 1.03	Incorporation by Reference of Trust Indenture Act	5

Section 1.04	Rules of Construction	5

Article II THE SECURITIES		6

Section 2.01	Issuable in Series	6

Section 2.02	Establishment of Terms of Series of Securities	6

Section 2.03	Execution and Authentication	8

Section 2.04	Registrar and Paying Agent	9

Section 2.05	Paying Agent to Hold Money in Trust	10

Section 2.06	Securityholder Lists	10

Section 2.07	Transfer and Exchange	10

Section 2.08	Mutilated, Destroyed, Lost and Stolen Securities	11

Section 2.09	Outstanding Securities	12

Section 2.10	Treasury Securities	12

Section 2.11	Temporary Securities	12

Section 2.12	Cancellation	13

Section 2.13	Defaulted Interest	13

Section 2.14	Global Securities	13

Section 2.15	CUSIP Numbers	15

Article III REDEMPTION		16

Section 3.01	Notice to Trustee	16

Section 3.02	Selection of Securities to be Redeemed	16

Section 3.03	Notice of Redemption	16

Section 3.04	Effect of Notice of Redemption	17

Section 3.05	Deposit of Redemption Price	17

Section 3.06	Securities Redeemed in Part	17

Article IV COVENANTS		17

Section 4.01	Payment of Principal and Interest	17

Section 4.02	SEC Reports	18

Section 4.03	Compliance Certificate	18

Section 4.04	Stay, Extension and Usury Laws	19

Section 4.05	Corporate Existence	19

Section 4.06	Taxes	19

Section 4.07	Additional Interest Notice	19

Section 4.08	Further Instruments and Acts	19

Article V SUCCESSORS		20

Section 5.01	When Company May Merge, Etc.	20

Section 5.02	Successor Corporation Substituted	20

Article VI DEFAULTS AND REMEDIES		21

Section 6.01	Events of Default	21

Section 6.02	Acceleration of Maturity; Rescission and Annulment	22

Section 6.03	Collection of Indebtedness and Suits for Enforcement by Trustee	23

Section 6.04	Trustee May File Proofs of Claim	24

Section 6.05	Trustee May Enforce Claims Without Possession of Securities	24

Section 6.06	Application of Money Collected	25

Section 6.07	Limitation on Suits	25

Section 6.08	Unconditional Right of Holders to Receive Principal and Interest	25

Section 6.09	Restoration of Rights and Remedies	26

Section 6.10	Rights and Remedies Cumulative	26

Section 6.11	Delay or Omission Not Waiver	26

Section 6.12	Control by Holders	26

Section 6.13	Waiver of Past Defaults	26

Section 6.14	Undertaking for Costs	27

Article VII TRUSTEE		27

Section 7.01	Duties of Trustee	27

Section 7.02	Rights of Trustee	28

Section 7.03	Individual Rights of Trustee	29

Section 7.04	Trustee’s Disclaimer	29

Section 7.05	Notice of Defaults	29

Section 7.06	Reports by Trustee to Holders	30

Section 7.07	Compensation and Indemnity	30

Section 7.08	Replacement of Trustee	31

Section 7.09	Successor Trustee by Merger, etc.	32

Section 7.10	Eligibility; Disqualification	32

Section 7.11	Preferential Collection of Claims Against Company	32

Article VIII SATISFACTION AND DISCHARGE; DEFEASANCE		32

Section 8.01	Satisfaction and Discharge of Indenture	32

Section 8.02	Application of Trust Funds; Indemnification	33

Section 8.03	Legal Defeasance of Securities of any Series	34

Section 8.04	Covenant Defeasance	35

Section 8.05	Repayment to Company	36

Article IX AMENDMENTS AND WAIVERS		36

Section 9.01	Without Consent of Holders	36

Section 9.02	With Consent of Holders	37

Section 9.03	Limitations	38

Section 9.04	Compliance with Trust Indenture Act	38

Section 9.05	Revocation and Effect of Consents	39

Section 9.06	Notation on or Exchange of Securities	39

Section 9.07	Trustee Protected	39

Section 9.08	Effect of Supplemental Indenture	39

Article X MISCELLANEOUS		39

Section 10.01	Trust Indenture Act Controls	39

Section 10.02	Notices	40

Section 10.03	Communication by Holders with Other Holders	40

Section 10.04	Certificate and Opinion as to Conditions Precedent	41

Section 10.05	Statements Required in Certificate or Opinion	41

Section 10.06	Record Date for Vote or Consent of Holders	41

Section 10.07	Rules by Trustee and Agents	41

Section 10.08	Legal Holidays	42

Section 10.09	No Recourse Against Others	42

Section 10.10	Counterparts	42

Section 10.11	Governing Laws and Submission to Jurisdiction	42

Section 10.12	No Adverse Interpretation of Other Agreements	42

Section 10.13	Successors	43

Section 10.14	Severability	43

Section 10.15	Table of Contents, Headings, Etc.	43

Section 10.16	Securities in a Foreign Currency or in ECU	43

Section 10.17	Judgment Currency	44

Section 10.18	Compliance with Applicable Anti-Terrorism and Money Laundering Regulations	44

Article XI SINKING FUNDS		44

Section 11.01	Applicability of Article	44

Section 11.02	Satisfaction of Sinking Fund Payments with Securities	45

Section 11.03	Redemption of Securities for Sinking Fund	45

Section 310(a)(1)	7.10
(a)(2)	7.10
(a)(3)	Not Applicable
(a)(4)	Not Applicable
(a)(5)	7.10
(b)	7.10
(c)	Not Applicable
Section 311(a)	7.11
(b)	7.11
(c)	Not Applicable
Section 312(a)	2.06
(b)	10.03
(c)	10.03
Section 313(a)	7.06
(b)(1)	7.06
(b)(2)	7.06
(c)(1)	7.06
(d)	7.06
Section 314(a)	4.02, 10.05
(b)	Not Applicable
(c)(1)	10.04
(c)(2)	10.04
(c)(3)	Not Applicable
(d)	Not Applicable
(e)	10.05
(f)	Not Applicable
Section 315(a)	7.01
(b)	7.05
(c)	7.01
(d)	7.01
(e)	6.14
Section 316(a)(1)(A)	6.12
(a)(1)(B)	6.13
(a)(2)	Not Applicable
(b)	6.13
(c)	10.06
Section 317(a)(1)	6.03
(a)(2)	6.04
(b)	2.05
Section 318(a)	10.01

TERM	DEFINED IN SECTION
“Applicable Law”	10.18
“Event of Default”	6.01
“Instrument”	6.01
“Journal”	10.16
“Judgment Currency”	10.17
“Legal Holiday”	10.08
“mandatory sinking fund payment”	11.01
“Market Exchange Rate”	10.16
“New York Banking Day”	10.17
“optional sinking fund payment”	11.01
“Paying Agent”	2.04
“Registrar”	2.04
“Required Currency”	10.17
“successor person”	5.01
“Temporary Securities”	2.11

	ARGENX SE

	By:
		Name:
		Its:

	[ ]
	as Trustee

	By:
		Name:
		Its:

	By:
		Name:
		Its:

	[ ]
	as Registrar and Paying Agent

	By:
		Name:
		Its:

	By:
		Name:
		Its: