Report of Proposed Sale of Securities (144)
January 27 2021 - 7:05AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 193
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OMB
APPROVAL
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OMB
Number: 325-0101
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Expires: June 30,
2020
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Estimated
average burden hours per response 1.00
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SEC
USE ONLY
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DOCUMENT
SEQUENCE NO.
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CUSIP
NUMBER
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ATTENTION:
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Transmit
for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale
directly with a market maker
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WORK
LOCATION
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1
(a) NAME OF ISSUER (Please type or print)
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(b)
IRS IDENT. NO.
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(c)
S.E.C. FILE NO.
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CENTOGENE N.V.
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not applicable
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001-39124
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1
(d) ADDRESS OF ISSUER
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STREET
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CITY
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STATE
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ZIP CODE
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(e)
TELEPHONE NO.
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Area Code
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Number
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Am Strande 7
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Rostock
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MV, Germany
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18055
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+49
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381 80113400
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2 (a) NAME OF PERSON
FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
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(b)
RELATIONSHIP TO ISSUER
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(c)
ADDRESS STREET
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CITY
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STATE
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ZIP
CODE
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Richard Stoffelen
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CFO
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Linienstrasse 10
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Berlin
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Germany
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12526
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INSTRUCTION:
The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a)
Title of the Class of Securities To Be Sold
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(b)
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring
the Securities
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SEC
USE
ONLY
Broker-Dealer
File
Number
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(c)
Number of Shares or Other Units To Be Sold (See instr. 3(c))
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(d)
Aggregate Market Value
(See instr. 3(d))
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(e)
Number of Shares or Other Units Outstanding (See instr. 3(e))
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(f)
Approximate Date of Sale (See instr. 3(f))
(MO. DAY YR.)
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(g)
Name of Each
Securities
Exchange
(See instr. 3(g))
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Common
Shares, par value €0.12
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Van Lanschot Kempen
Wealth Management N.V. Hooge Steenweg 29
5211 JN's Hertogenbosch
The Netherlands
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75,459
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US$ 909,208.95(1)
(based on closing price Jan 21, 2021)
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22,194,992
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as soon as practicable
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NASDAQ Global Market
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INSTRUCTIONS:
1.
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(a) Name
of issuer
(b) Issuer’s
I.R.S. Identification Number
(c) Issuer’s
S.E.C. file number, if any
(d) Issuer’s
address, including zip code
(e) Issuer’s
telephone number, including area code
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3.
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(a) Title
of the class of securities to be sold
(b) Name
and address of each broker through whom the securities are intended to be sold
(c) Number
of shares or other units to be sold (if debt securities, give the aggregate face amount)
(d) Aggregate
market value of the securities to be sold as of a specified date within 10 days prior to filing of this notice
(e) Number
of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown
by the most recent report or statement published by the issuer
(f) Approximate
date on which the securities are to be sold
(g) Name
of each securities exchange, if any, on which the securities are intended to be sold
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2
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(a) Name
of person for whose account the securities are to be sold
(b) Such
person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of
any of the foregoing)
(c) Such
person’s address, including zip code
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Potential persons who are to 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.
TABLE
I — SECURITIES TO BE SOLD
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Furnish
the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other
consideration therefor:
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Title
of the Class
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Date
you Acquired
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Nature
of Acquisition Transaction
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Name
of Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount
of
Securities Acquired
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Date
of Payment
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Nature
of Payment
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Common Shares, par value €0.12
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2019
and 2020
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Company Employee Incentive Plan of 2016 and Company LTIP of 2020
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CENTOGENE
N.V.
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140,169 from the 2016 plan and 10,750 from the 2020 plan
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none as no payment
made
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n/a
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INSTRUCTIONS:
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If
the securities were purchased and full payment therefor was not made in cash at the time
of purchase, explain in the table or in a note thereto the nature of the consideration
given. If the consideration consisted of any note or other obligation, or if payment
was made in installments describe the arrangement and state when the note or other obligation
was discharged in full or the last installment paid.
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TABLE II — SECURITIES SOLD DURING THE PAST
3 MONTHS
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Furnish the following information as to all securities
of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
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Name
and Address of Seller
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Title
of Securities Sold
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Date
of Sale
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Amount
of Securities Sold
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Gross
Proceeds
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REMARKS:
(1) Based on closing price of $12.05 per share as of January 21, 2021
INSTRUCTIONS:
See the definition of “person” in paragraph
(a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be
sold but also as to all other persons included in that definition. In addition, information shall be given as to
sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of
the person filing this notice.
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ATTENTION:
The person for whose account the securities to which
this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information
in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly
disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1
under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instructions given, that
person makes such representation as of the plan adoption or instruction date.
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January
27, 2021
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Date
of Notice
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Date of Plan Adoption or Giving of Instruction,
if Relying on Rule 10b5-1.
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/s/ Richard Stoffelen
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(Signature)
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The
notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be
manually signed. Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional
misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
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