Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 4D Molecular Therapeutics, Inc.FDMT · Entity 2419 | Director | October 20, 2021 | October 22, 2021 |
| uniQure N.V.QURE · Entity 4162 | Director | February 27, 2020 | March 02, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
4D Molecular Therapeutics, Inc.
Report date October 20, 2021 · Filed October 22, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 901,215 |
Ending reported balance
After 2021-10-22 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2021-10-20 · Sale · Disposed 11,565 · Balance 925,935 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F2: The transaction was executed in multiple trades in prices ranging from $30.27 to $32.07,inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Row 2 · 2021-10-21 · Sale · Disposed 22,820 · Balance 903,115 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F3: The transaction was executed in multiple trades in prices ranging from $30.70 to $32.39, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Row 3 · 2021-10-22 · Sale · Disposed 1,900 · Balance 901,215 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F4: The transaction was executed in multiple trades in prices ranging from $30.76 to $31.66, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person.
F2: The transaction was executed in multiple trades in prices ranging from $30.27 to $32.07,inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
F3: The transaction was executed in multiple trades in prices ranging from $30.70 to $32.39, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
F4: The transaction was executed in multiple trades in prices ranging from $30.76 to $31.66, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
uniQure N.V.
Report date February 27, 2020 · Filed March 02, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 46,978 |
Reported balance
After 2020-02-27 transaction · row 1
1 source rowRow 1 · 2020-02-27 · Grant · Disposed 2,063 · Balance 46,978 F1: 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. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $51.81 · Expires 2030-02-27 | Direct | 3,620 |
Reported balance
After 2020-02-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-02-27 · Grant · Acquired 3,620 · Balance 3,620 F2: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 22, 2021 Filed Oct 22, 2021 21:42 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 1,900 | $31.00 | $58,892.78 |
DisclosureSEC source: 0001567619-21-018628 · doc1.xml · nonDerivative · entry 3 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 901,215 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F4 · price: The transaction was executed in multiple trades in prices ranging from $30.76 to $31.66, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| October 21, 2021 Filed Oct 22, 2021 21:42 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 22,820 | $31.56 | $720,155.84 |
DisclosureSEC source: 0001567619-21-018628 · doc1.xml · nonDerivative · entry 2 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 903,115 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The transaction was executed in multiple trades in prices ranging from $30.70 to $32.39, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| October 20, 2021 Filed Oct 22, 2021 21:42 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 11,565 | $31.02 | $358,770.59 |
DisclosureSEC source: 0001567619-21-018628 · doc1.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 925,935 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The transaction was executed in multiple trades in prices ranging from $30.27 to $32.07,inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 30, 2021 Filed Oct 1, 2021 16:34 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 4,549 | $27.28 | $124,084.89 |
DisclosureSEC source: 0001567619-21-017751 · doc1.xml · nonDerivative · entry 5 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 937,500 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F6 · price: The transaction was executed in multiple trades in prices ranging from $27.08 to $27.83, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 30, 2021 Filed Oct 1, 2021 16:34 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 7,836 | $26.69 | $209,164.78 |
DisclosureSEC source: 0001567619-21-017751 · doc1.xml · nonDerivative · entry 4 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 942,049 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F5 · price: The transaction was executed in multiple trades in prices ranging from $26.07 to $27.06, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 29, 2021 Filed Oct 1, 2021 16:34 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 700 | $30.06 | $21,044.17 |
DisclosureSEC source: 0001567619-21-017751 · doc1.xml · nonDerivative · entry 3 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 949,885 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F4 · price: The transaction was executed in multiple trades in prices ranging from $29.75 to $30.66, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 29, 2021 Filed Oct 1, 2021 16:34 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 8,365 | $29.06 | $243,057.62 |
DisclosureSEC source: 0001567619-21-017751 · doc1.xml · nonDerivative · entry 2 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 950,585 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The transaction was executed in multiple trades in prices ranging from $28.71 to $29.69, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 29, 2021 Filed Oct 1, 2021 16:34 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 7,806 | $27.99 | $218,511.80 |
DisclosureSEC source: 0001567619-21-017751 · doc1.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 958,950 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The transaction was executed in multiple trades in prices ranging from $27.70 to $28.70, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 28, 2021 Filed Sep 29, 2021 16:05 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 100 | $32.00 | $3,200.00 |
DisclosureSEC source: 0001567619-21-017624 · doc1.xml · nonDerivative · entry 5 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 966,756 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| September 28, 2021 Filed Sep 29, 2021 16:05 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 13,812 | $30.52 | $421,492.52 |
DisclosureSEC source: 0001567619-21-017624 · doc1.xml · nonDerivative · entry 4 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 966,856 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F5 · price: The transaction was executed in multiple trades in prices ranging from $30.28 to $31.19, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 27, 2021 Filed Sep 29, 2021 16:05 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 100 | $34.19 | $3,419.00 |
DisclosureSEC source: 0001567619-21-017624 · doc1.xml · nonDerivative · entry 3 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 980,668 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| September 27, 2021 Filed Sep 29, 2021 16:05 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 6,157 | $33.51 | $206,330.31 |
DisclosureSEC source: 0001567619-21-017624 · doc1.xml · nonDerivative · entry 2 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 980,768 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F4 · price: The transaction was executed in multiple trades in prices ranging from $33.10 to $34.01, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| September 27, 2021 Filed Sep 29, 2021 16:05 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | SaleCommon Stock | 13,075 | $32.59 | $426,076.33 |
DisclosureSEC source: 0001567619-21-017624 · doc1.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 986,925 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The transaction was executed in multiple trades in prices ranging from $32.09 to $33.09, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F3 · balance_after: Since the date of the reporting person's last ownership report, he transferred 1,000,000 shares of FDMT common stock to his ex-spouse pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-spouse. Read SEC document |
| May 17, 2021 Filed May 19, 2021 20:34 UTC | 4D Molecular Therapeutics, Inc. FDMT · Entity 2419 | GrantStock Option (Right to Buy) · Derivative | 22,500 | $0.00 Strike: $26.89 | $0.00 |
DisclosureSEC source: 0001567619-21-010750 · doc1.xml · derivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires 2031-05-16 F1 · shares: Automatically granted pursuant to the terms of the Company's non-employee director compensation program. F2 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to 1/3 of the total shares on May 17, 2022 and in equal monthly installments thereafter, subject to the Reporting Person continuing service to Issuer through each vesting date, until the shares are fully vested on May 17, 2024. Additionally, the stock options will vest in full upon the consummation of a Change in Control (as defined in the 2020 Incentive Award Plan). Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 15:46 UTC | uniQure N.V. QURE · Entity 4162 | GrantStock Option (Right to Buy) · Derivative | 3,620 | $0.00 Strike: $51.81 | $0.00 |
DisclosureSEC source: 0000904454-20-000257 · edgar.xml · derivative · entry 2 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,620 Underlying: Ordinary Shares · 3,620 shares Expires 2030-02-27 F2 · derivative.exercise_date: 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. Read SEC document |
| February 27, 2020 Filed Mar 2, 2020 15:46 UTC | uniQure N.V. QURE · Entity 4162 | GrantOrdinary Shares | 2,063 | $0.00 | $0.00 |
DisclosureSEC source: 0000904454-20-000257 · edgar.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,978 F1 · shares: 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. Read SEC document |
| January 28, 2020 Filed Jan 30, 2020 21:06 UTC | uniQure N.V. QURE · Entity 4162 | SaleOrdinary Shares | 806 | $62.27 | $50,189.62 |
DisclosureSEC source: 0000904454-20-000112 · edgar.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,915 F1 · kind: As required by the relevant Restricted Share Unit Agreement, the Reporting Person sold the Ordinary Shares and remitted the proceeds therefrom to the Issuer to satisfy estimated tax withholding obligations triggered by the vesting of restricted share units. F1 · shares: As required by the relevant Restricted Share Unit Agreement, the Reporting Person sold the Ordinary Shares and remitted the proceeds therefrom to the Issuer to satisfy estimated tax withholding obligations triggered by the vesting of restricted share units. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $61.50 to $62.39. The Reporting Person undertakes to provide to the Issuer, any shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 17:24 UTC | uniQure N.V. QURE · Entity 4162 | SaleOrdinary Shares | 1,210 | $31.31 | $37,885.10 |
DisclosureSEC source: 0000904454-19-000130 · edgar.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,721 F1 · kind: As required by the relevant Restricted Share Unit Agreement, the Reporting Person sold the Ordinary Shares and remitted the proceeds therefrom to the Issuer to satisfy estimated tax withholding obligations triggered by the vesting of restricted share units. F1 · shares: As required by the relevant Restricted Share Unit Agreement, the Reporting Person sold the Ordinary Shares and remitted the proceeds therefrom to the Issuer to satisfy estimated tax withholding obligations triggered by the vesting of restricted share units. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.26 to $31.36. The Reporting Person undertakes to provide to the Issuer, any shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 20:32 UTC | uniQure N.V. QURE · Entity 4162 | GrantStock Option (Right to Buy) · Derivative | 5,295 | $0.00 Strike: $31.71 | $0.00 |
DisclosureSEC source: 0000904454-19-000109 · edgar.xml · derivative · entry 3 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,295 Underlying: Ordinary Shares · 5,295 shares Expires 2029-01-25 F3 · derivative.exercise_date: 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. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 20:32 UTC | uniQure N.V. QURE · Entity 4162 | GrantOrdinary Shares | 3,230 | $0.00 | $0.00 |
DisclosureSEC source: 0000904454-19-000109 · edgar.xml · nonDerivative · entry 2 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,931 F2 · shares: 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. Read SEC document |
| January 17, 2019 Filed Jan 29, 2019 20:32 UTC | uniQure N.V. QURE · Entity 4162 | SaleOrdinary Shares | 7,500 | $30.71 | $230,325.00 |
DisclosureSEC source: 0000904454-19-000109 · edgar.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,701 F1 · kind: The shares were sold pursuant to a sales plan adopted by the Reporting Person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934. Read SEC document |
| January 29, 2018 Filed Jan 31, 2018 10:30 UTC | uniQure N.V. QURE · Entity 4162 | SaleOrdinary Shares | 2,878 | $18.53 | $53,329.34 |
DisclosureSEC source: 0000904454-18-000087 · edgar.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,314 F1 · kind: As required by the relevant Restricted Share Unit Agreement, the Reporting Person sold the Ordinary Shares and remitted the proceeds therefrom to the Issuer to satisfy estimated tax withholding obligations triggered by the vesting of restricted share units. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $18.41 to $18.69. The Reporting Person undertakes to provide to the Issuer, any shareholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 26, 2018 Filed Jan 30, 2018 10:42 UTC | uniQure N.V. QURE · Entity 4162 | GrantStock Option (Right to Buy) · Derivative | 6,390 | $0.00 Strike: $19.39 | $0.00 |
DisclosureSEC source: 0000904454-18-000062 · edgar.xml · derivative · entry 2 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,390 Underlying: Ordinary Shares · 6,390 shares Expires 2028-01-26 F3 · derivative.exercise_date: 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. Read SEC document |
| January 26, 2018 Filed Jan 30, 2018 10:42 UTC | uniQure N.V. QURE · Entity 4162 | GrantOrdinary Shares | 4,792 | $0.00 | $0.00 |
DisclosureSEC source: 0000904454-18-000062 · edgar.xml · nonDerivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,192 F1 · shares: 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. F2 · balance_after: Includes (i) 5,000 restricted share units that vested in full on January 27, 2017 previously disclosed by the Reporting Person in Table II and (ii) 11,000 restricted share units that vested in full on January 27, 2018 previously disclosed by the Reporting Person in Table II. Adjusted to reflect the sale on January 30, 2017 of 2,600 shares to satisfy tax withholding obligations in connection with the vesting of restricted share units, the proceeds of which were remitted to the Issuer, as required by the relevant Restricted Share Unit Agreement. Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 15:02 UTC | uniQure N.V. QURE · Entity 4162 | GrantRestricted Stock Units · Derivative | 11,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-003702 · doc1.xml · derivative · entry 2 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Ordinary Shares · 11,000 shares Expires not disclosed F2 · derivative.exercise_date: The Restricted Stock Unit vests 100% on January 27, 2018. F3 · derivative.expiration_date: 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. Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 15:02 UTC | uniQure N.V. QURE · Entity 4162 | GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $5.37 | $0.00 |
DisclosureSEC source: 0001140361-17-003702 · doc1.xml · derivative · entry 1 SCHAFFER DAVID · CIK 0001692929 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Ordinary Shares · 11,000 shares Expires 2027-01-27 F1 · derivative.exercise_date: The Stock Option vests 100% on January 27, 2018. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.