SEC Form 4 · accession 0001209191-17-042160
uniQure N.V. · QURE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harald Petry
Officer — Chief Scientific Officer
Period of report
Jun 22, 2017
Accepted (ET)
Jun 28, 2017 · 5:05 pm EDT
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 | Jun 22, 2017 | M | 155 | $3.4237 | A | 155 | D | |
| Ordinary Shares | Jun 22, 2017 | S | 155 | $6.00 | D | 0 | D | |
| Ordinary SharesF3 | Jun 26, 2017 | M | 58,075 | $3.4329 | A | 58,075 | D | |
| Ordinary SharesF4 | Jun 26, 2017 | S | 58,075 | $6.0104 | D | 0 | D | |
| Ordinary SharesF5 | Jun 27, 2017 | M | 7,700 | $3.481 | A | 7,700 | D | |
| Ordinary SharesF6 | Jun 27, 2017 | S | 7,700 | $6.002 | D | 0 | 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,F7 | $3.4237 | Jun 22, 2017 | M | 155 | D | — | Apr 5, 2022 | Ordinary Shares | 155 | 115,075 | D |
| Stock Option (right to buy)F3,F7 | $3.4329 | Jun 26, 2017 | M | 58,075 | D | — | Apr 5, 2022 | Ordinary Shares | 58,075 | 57,000 | D |
| Stock Option (right to buy)F5,F7 | $3.481 | Jun 27, 2017 | M | 7,700 | D | — | Apr 5, 2022 | Ordinary Shares | 7,700 | 49,300 | D |
Explanation of responses
- F1The stock option was exercised at a price of 3.07 Euros per share. The conversion from Euro to U.S. dollars ($) applied the exchange rate of 1.1151 Euros to U.S. dollars as of the exercise date.
- F2The sales reported in this Form 4 were pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 3, 2017.
- F3The stock option was exercised at a price of 3.07 Euros per share. The conversion from Euro to U.S. dollars ($) applied the exchange rate of 1.1182 Euros to U.S. dollars as of the exercise date.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.13, inclusive. The reporting person undertakes to provide to uniQure N.V., any security holder of uniQure N.V. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price ranges set forth in this footnote.
- F5The stock option was exercised at a price of 3.07 Euros per share. The conversion from Euro to U.S. dollars ($) applied the exchange rate of 1.1339 Euros to U.S. dollars as of the exercise date.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from from $6.00 to $6.02, inclusive. The reporting person undertakes to provide to uniQure N.V., any security holder of uniQure N.V. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price ranges set forth in this footnote.
- F7The Stock Option vested in full on February 6, 2014.