SEC Form 4 · accession 0001209191-18-002472
uniQure N.V. · QURE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew C Kapusta
Officer — CEO, CFO, Managing Director · Director
Period of report
Jan 4, 2018
Accepted (ET)
Jan 5, 2018 · 4:40 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 SharesF2,F3 | Jan 4, 2018 | S | 21,690 | $19.8741 | D | 447,559 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1As required by the relevant Restricted Share Unit Agreement, the reporting person sold the ordinary shares and remitted the proceeds therefrom to the issuer to satisfy estimated tax withholding obligations triggered by the vesting of restricted share units.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.73 to $20.15, inclusive. The reporting person undertakes to provide 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.
- F3Consists of (i) 209,625 performance share units that vest in full on January 27, 2020 (ii) 39,870 ordinary shares, (iii) 23,064 performance share units previously disclosed by the reporting person on Table II that vest in full on January 27, 2019 and (iv) 175,000 restricted share units previously disclosed by the reporting person on Table II, that vest 50% on March 14, 2019 and 50% on March 15, 2019.