SEC Form 4 · accession 0000904454-19-000115
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 25, 2019
Accepted (ET)
Jan 29, 2019 · 8:47 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 | Jan 25, 2019 | A | 5,589 | $0.00 | A | 30,658 | I | See footnote |
| Ordinary SharesF3,F2 | Jan 25, 2019 | A | 10,913 | $0.00 | A | 41,571 | I | See footnote |
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 | $31.71 | Jan 25, 2019 | A | 18,325 | A | — | Jan 25, 2029 | Ordinary Shares | 18,325 | 18,325 | 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.
- F2Shares held by SJH van Deventer C.V., an entity affiliated with Forbion Capital Partners ("FCP"), or required to be transferred to FCP under the Reporting Person's employment agreement with 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.
- F3Represents performance-based restricted share units ("PRSUs") granted on January 26, 2018 to the Reporting Person under the Issuer's 2014 Share Incentive Plan, as amended and restated, which vested on January 25, 2019. Each PRSU represents the contingent right to receive one Ordinary Share.
- 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.