SEC Form 4 · accession 0000904454-19-000254
uniQure N.V. · QURE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander Edward Kuta III
Officer — SVP, Regulatory Affairs
Period of report
Feb 15, 2019
Accepted (ET)
Feb 20, 2019 · 2:18 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 | Feb 15, 2019 | M | 20,000 | $5.31 | A | 46,578 | D | |
| Ordinary SharesF3 | Feb 15, 2019 | S | 7,800 | $35.80 | D | 38,778 | D | |
| Ordinary SharesF4 | Feb 15, 2019 | S | 200 | $36.60 | D | 38,578 | 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)F1 | $5.31 | Feb 15, 2019 | M | 20,000 | D | — | Jan 23, 2027 | Ordinary Shares | 20,000 | 130,000 | D |
Explanation of responses
- F1The Stock Option vests 25% on January 23, 2018 (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.
- F2The 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.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $35.31 to $36.305. The Reporting Person undertakes to provide to the Issuer, any shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $36.31 to $36.685. The Reporting Person undertakes to provide to the Issuer, any shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.