uniQure N.V. 10-Q

Item 5. Other Information ​ During the three months ended September 30, 2024, the following officer adopted a “ Rule 10b5-1 trading arrangement ” (as defined in Item 408(a) of Regulation S-K) that is intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act and our policies on insider trading: ​ ​ ​ ​ ​ Name & Title Date Adopted (1) Aggregate Number of Ordinary Shares to be Purchased or Sold Pursuant to Trading Arrangement Expiration Date (2) Matthew Kapusta August 12, 2024 200,000 August 25, 2025 ​ Mr. Kapusta’s Rule 10b5-1 trading arrangement relates exclusively to options to purchase ordinary shares scheduled to expire in the near-term, including 100,000 options scheduled to expire on January 1, 2025 (with an exercise price of $14.71) and 100,000 options schedule to expire on August 25, 2025 (with an exercise price of $23.60). ​ (1 ) Date of adoption of this Rule 10b5-1 trading arrangement is in accordance with applicable SEC rules and regulations. The first trade pursuant to this Rule 10b5-1 trading arrangement will be, in accordance with applicable SEC rules and regulations, on a date after the date of adoption of the Rule 10b5-1 trading arrangement, to the extent triggered under its terms. ​ (2) The Rule 10b5-1 trading arrangement permits transactions through and including the earlier to occur of (a) the completion of all sales or (b) the date listed in the table. The arrangement also provides for automatic expiration in the event of bankruptcy, insolvency, death or mental incapacity of the adopting person. ​ Other than those disclosed above, none of our directors or officers adopted , modified , or terminated a “ Rule 10b5-1 trading arrangement ” or “ non-Rule 10b5-1 trading arrangement ,” in each case as defined in Item 408 of Regulation S-K, during the nine months ended September 30, 2024. ​ Item 6. Exhibits ​ See the Exhibit Index immediately preceding the signature page to this Quarterly Report on Form 10-Q for a list of exhibits filed or furnished with this report, which Exhibit Index is incorporated herein by reference. ​ ​ 83 Table of Contents EXHIBIT INDEX ​ ​ ​ ​ ​ 31.1* Certification of Chief Executive Officer pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities and Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ​ ​ 31.2* Certification of Chief Financial Officer pursuant to Rule 13a-14(a) or 15d-14(a) of the Securities and Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 . ​ ​ 32.1± Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 . ​ ​ 101 The following financial information from our Quarterly Report on Form 10-Q for the period ended September 30, 2024, filed with the Securities and Exchange Commission on November 5, 2024, is formatted in Inline Extensible Business Reporting Language (“iXBRL”): (i) Consolidated Balance Sheets; (ii) Consolidated Statements of Operations and Comprehensive Loss; (iii) Consolidated Statements of Shareholders’ Equity; (iv) Consolidated Statements of Cash Flows; and (v) Notes to Consolidated Financial Statements (tagged as blocks of text) ​ ​ 104* The cover page from our Quarterly Report on Form 10-Q for the period ended September 30, 2024, filed with the Securities and Exchange Commission on November 5, 2024, is formatted in Inline Extensible Business Reporting Language (“iXBRL”) ​ * Filed herewith. ± Furnished herewith. ​ 84 Table of Contents SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. ​ ​ UNIQURE N.V. ​ ​ ​ ​ ​ By: /s/ Matthew Kapusta Matthew Kapusta Chief Executive Officer (Principal Executive Officer) ​ ​ ​ ​ ​ By: /s/ Christian Klemt Christian Klemt Chief Financial Officer (Principal Financial Officer) ​ Date: November 5, 2024 ​ ​ 85