Initial Statement of Beneficial Ownership (3)
January 06 2017 - 05:28PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Petry Harald
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2017
|
3. Issuer Name
and
Ticker or Trading Symbol
uniQure N.V. [QURE]
|
(Last)
(First)
(Middle)
C/O UNIQURE N.V., MEIBERGDREFF 61
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Scientific Officer /
|
(Street)
AMSTERDAM, P7 1005 BA
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
1.Title of Security
(Instr. 4)
|
2. Amount of Securities Beneficially Owned
(Instr. 4)
|
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
|
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
|
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option (right to buy)
|
(1)
|
1/28/2026
|
Ordinary Shares
|
20000
|
$18.21
|
D
|
|
Performance Share Units
|
(2)
|
(3)
|
Ordinary Shares
|
12000
|
$0
|
D
|
|
Stock Option (right to buy)
|
(4)
|
5/27/2024
|
Ordinary Shares
|
30000
|
$9.35
|
D
|
|
Stock Option (right to buy)
|
(5)
|
5/4/2022
|
Ordinary Shares
|
140652
|
(6)
|
D
|
|
Restricted Stock Units
|
(7)
|
(8)
|
Ordinary Shares
|
35000
|
$0
|
D
|
|
Explanation of Responses:
|
(
1)
|
The Stock Option vests 25% on January 28, 2017 and 6.25% quarterly thereafter until fully vested.
|
(
2)
|
Performance Share Units of a maximum of 12,000 shares of the Company's Ordinary Shares were granted on January 28, 2016. The Board of Directors shall determine how many Performance Share Units are to be granted in conjunction with a review of certain performance goals associated with the grant. Any such Performance Share Units granted by the Board of Directors shall vest shall vest 100% on January 27, 2019.
|
(
3)
|
Expiration date is not applicable.
|
(
4)
|
The Stock Option vests 25% on May 27, 2015 and 6.25% quarterly thereafter until fully vested.
|
(
5)
|
The Stock Option is fully vested.
|
(
6)
|
The Stock Option is exercisable at a price of ?3.07 per share ($3.23, as converted.) The conversion from Euro (?) into U.S. dollars ($) applied the exchange rate as of December 30, 2016 of ?1 to $1.0541.
|
(
7)
|
Restricted Stock Units of 35,000 shares of the Company's Ordinary Shares were granted on November 15, 2016 which shares shall vest 50% on December 31, 2017 and 50% on December 31, 2018.
|
(
8)
|
Expiration date is not applicable as the vested Restricted Stock Units shall be settled on the first business day following the date that such Restricted Stock Units vests.
|
Remarks:
See Exhibit 24 - Power of Attorney
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Petry Harald
C/O UNIQURE N.V.
MEIBERGDREFF 61
AMSTERDAM, P7 1005 BA
|
|
|
Chief Scientific Officer
|
|
Signatures
|
/s/Lauren M. Watson, Attorney-in-Fact
|
|
1/6/2017
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
uniQure NV (NASDAQ:QURE)
Historical Stock Chart
From Feb 2024 to Mar 2024
uniQure NV (NASDAQ:QURE)
Historical Stock Chart
From Mar 2023 to Mar 2024