Initial Statement of Beneficial Ownership (3)
August 08 2017 - 5:06PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
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KLEMT CHRISTIAN
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/7/2017
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3. Issuer Name
and
Ticker or Trading Symbol
uniQure N.V. [QURE]
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(Last)
(First)
(Middle)
PAASHEUVELWEG 25A
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Accounting Officer /
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(Street)
AMSTERDAM, P7 1105 BP
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Ordinary Shares
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23000
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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(2)
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9/1/2025
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Ordinary Shares
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15000
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$26.41
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D
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Stock Option (Right to Buy)
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(3)
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4/15/2026
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Ordinary Shares
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3000
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$13.03
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D
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Stock Option (Right to Buy)
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(4)
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1/27/2027
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Ordinary Shares
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15000
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$5.37
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D
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Explanation of Responses:
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(1)
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Consists of (i) 20,000 restricted stock units that vest in equal installments on December 31, 2017 and December 31, 2018 and (ii) 3,000 restricted stock units that vest in full on April 15, 2019.
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(2)
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The first tranche of 25% vested on September 1, 2016, with the remainder vesting in tranches of 6.25% each quarter thereafter until fully vested.
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(3)
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The first tranche of 25% vested on April 15, 2016, with the remainder vesting in tranches of 6.25% each quarter thereafter until fully vested.
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(4)
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The first tranche of 25% vests on January 27, 2018, with the remainder vesting in tranches of 6.25% each quarter thereafter until fully vested.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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KLEMT CHRISTIAN
PAASHEUVELWEG 25A
AMSTERDAM, P7 1105 BP
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Chief Accounting Officer
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Signatures
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/s/ Christian Klemt
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8/8/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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