Initial Statement of Beneficial Ownership (3)
August 30 2019 - 10:43AM
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
*
Kuta Alexander Edward III |
2. Date of Event Requiring Statement (MM/DD/YYYY)
8/20/2019
|
3. Issuer Name and Ticker or Trading Symbol
uniQure N.V. [QURE]
|
|
(Last)
(First)
(Middle)
C/O UNIQURE N.V., PAASHEUVELWEG 25A |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Executive VP, Operations / |
|
(Street)
AMSTERDAM, P7 11058BP
(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) |
| Common Stock | 26578 | D |
|
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) | 1/23/2027 | Ordinary Shares | 118000 (1) | $5.31 | D |
|
| Stock Option (Right to Buy) | (2) | 1/26/2028 | Ordinary Shares | 23962 | $19.39 | D |
|
| Stock Option (Right to Buy) | (3) | 1/25/2029 | Ordinary Shares | 19883 | $31.71 | D |
|
| Explanation of Responses: |
| (1) | The Stock Option vested 25% on January 23, 2018 (the first anniversary of the date of grant), and vests 6.25% quarterly thereafter until fully vested, subject to the Reporting Person's continued relationship with the Issuer through such dates. The option grant was for 150,000 shares, 32,000 of which were exercised prior to the date of this Form 3. |
| (2) | The Stock Option vested 25% on January 26, 2019 (the first anniversary of the date of grant), and vests 6.25% quarterly thereafter until fully vested, subject to the Reporting Person's continued relationship with the Issuer through such dates. |
| (3) | The Stock Option vests 25% on January 25, 2020 (the first anniversary of the date of grant), and 6.25% quarterly thereafter until fully vested, subject to the Reporting Person's continued relationship with the Issuer through such dates. |
Remarks:
Exhibit List: Exhibit 24 - Power of Attorney |
Reporting Owners
|
| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Kuta Alexander Edward III
C/O UNIQURE N.V.
PAASHEUVELWEG 25A
AMSTERDAM, P7 11058BP |
|
| Executive VP, Operations |
|
Signatures
|
| /s/ Christian Klemt, Attorney-in-Fact | | 8/30/2019 |
| **Signature of Reporting Person | Date |
uniQure NV (NASDAQ:QURE)
Historical Stock Chart
From Mar 2024 to Apr 2024
uniQure NV (NASDAQ:QURE)
Historical Stock Chart
From Apr 2023 to Apr 2024
