Statement of Changes in Beneficial Ownership (4)
March 01 2021 - 3:20PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kaye Jack |
2. Issuer Name and Ticker or Trading Symbol
uniQure N.V.
[
QURE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O UNIQURE N.V., PAASHEUVELWEG 25A |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/25/2021 |
(Street)
AMSTERDAM, P7 1105BP
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Ordinary Shares | 2/25/2021 | | A | | 2382 (1) | A | $0 | 18573 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $37 | 2/25/2021 | | A | | 4107 | | (2) | 2/25/2031 | Ordinary Shares | 4107 | $0 | 4107 | D | |
Explanation of Responses: |
(1) | Represents restricted share units granted to the Reporting Person under the Issuer's 2014 Share Incentive Plan, as amended and restated. Each restricted share unit represents the contingent right to receive one Ordinary Share. The restricted share units vest 100% on the first anniversary of the date of grant, subject to the Reporting Person's continued relationship with the Issuer through such date. |
(2) | The Stock Option vests 100% on the first anniversary of the date of grant, subject to the Reporting Person's continued relationship with the Issuer through such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kaye Jack C/O UNIQURE N.V. PAASHEUVELWEG 25A AMSTERDAM, P7 1105BP | X |
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Signatures
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/s/ Christian Klemt, Attorney-in-Fact | | 3/1/2021 |
**Signature of Reporting Person | Date |
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