SEC Form 4 · accession 0001209191-17-042340
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 28, 2017
Accepted (ET)
Jun 29, 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 28, 2017 | M | 27,753 | $3.4927 | A | 27,753 | D | |
| Ordinary SharesF3 | Jun 28, 2017 | S | 27,753 | $6.0123 | D | 0 | D | |
| Ordinary SharesF4 | Jun 29, 2017 | M | 21,547 | $3.5007 | A | 21,547 | D | |
| Ordinary SharesF5 | Jun 29, 2017 | S | 21,547 | $6.0198 | 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,F6 | $3.4927 | Jun 28, 2017 | M | 27,753 | D | — | Apr 5, 2022 | Ordinary Shares | 27,753 | 21,547 | D |
| Option (right to buy)F4,F6 | $3.5007 | Jun 29, 2017 | M | 21,547 | D | — | Apr 5, 2022 | Ordinary Shares | 21,547 | 0 | D |
Explanation of responses
- F1The stock option was exercised at a price of 3.07 Euros per share. The conversion from Euro to U.S. dollars ($) applied the exchange rate of 1.1377 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.07, inclusive. The reporting person undertakes to provide to uniQure N.V., any security holder of uniQure N.V. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price ranges set forth in this footnote.
- F4The stock option was exercised at a price of 3.07 Euros per share. The conversion from Euro to U.S. dollars ($) applied the exchange rate of 1.1403 Euros to U.S. dollars as of the exercise date.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.05, 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.
- F6The Stock Option vested in full on February 6, 2014.