SEC Form 4 · accession 0000904454-18-000084
uniQure N.V. · QURE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sander van Deventer
Officer — Chief Scientific Officer
Period of report
Jan 26, 2018
Accepted (ET)
Jan 30, 2018 · 1:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001590560
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1,F2,F3 | Jan 26, 2018 | A | 7,795 | $0.00 | A | 31,054 | I | See footnote (2) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $19.39 | Jan 26, 2018 | A | 20,788 | A | — | Jan 26, 2028 | Ordinary Shares | 20,788 | 20,788 | D |
Explanation of responses
- F1Represents restricted share units granted to the Reporting Person under the Issuer's 2014 Share Incentive Plan, as amended and restated. Each restricted share unit represents the contingent right to receive one Ordinary Share. The restricted share units vest in equal annual installments of 1/3 each, beginning on the first anniversary of the date of grant, subject to the Reporting Person's continued relationship with the Issuer through such dates.
- F2Includes (i) 9,859 Ordinary Shares held by SJH van Deventer C.V., an entity affiliated with Forbion Capital Partners ("FCP"). The Reporting Person has a partial beneficial interest in such shares as a managing partner of FCP, however he disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. (ii) 5,000 restricted share units that vested in full on January 27, 2017 previously disclosed by the Reporting Person in Table II; and (iii) 11,000 restricted share units that vested in full on January 27, 2018 previously disclosed by the Reporting Person in Table II. Under the Reporting Person's employment agreement with FCP, he is required to transfer the restricted share units to FCP. The Reporting Person has a partial beneficial interest in such restricted share units as a managing partner of FCP, however he disclaims beneficial ownership of such restricted share units except to the extent of his pecuniary interest therein.
- F3Adjusted to reflect the sale on January 30, 2017 of 2,600 shares to satisfy tax withholding obligations in connection with the vesting of restricted share units, the proceeds of which were remitted to the Issuer, as required by the relevant Restricted Share Unit Agreement.
- F4The Stock Option vests 25% on the first anniversary of the date of grant, and 6.25% quarterly thereafter until fully vested, subject to the Reporting Person's continued relationship with the Issuer through such dates.