SEC Form 4 · accession 0000904454-19-000109
uniQure N.V. · QURE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Schaffer
Director
Period of report
Jan 17, 2019
Accepted (ET)
Jan 29, 2019 · 8:32 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 Shares | Jan 17, 2019 | S | 7,500 | $30.71 | D | 43,701 | D | |
| Ordinary SharesF2 | Jan 25, 2019 | A | 3,230 | $0.00 | A | 46,931 | D |
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)F3 | $31.71 | Jan 25, 2019 | A | 5,295 | A | — | Jan 25, 2029 | Ordinary Shares | 5,295 | 5,295 | D |
Explanation of responses
- F1The shares were sold pursuant to a sales plan adopted by the Reporting Person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934.
- F2Represents 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 100% on the first anniversary of the date of grant, subject to the Reporting Person's continued relationship with the Issuer through such date.
- F3The Stock Option vests 100% on the first anniversary of the date of grant, subject to the Reporting Person's continued relationship with the Issuer through such date.