UNIQURE NV: Conclusion of a Material Definitive Agreement, creation of a direct financial obligation or obligation under an off-balance sheet arrangement of a registrant, other events, financial statements and exhibits (Form 8-K )

Item 1.01 Conclusion of a Material Definitive Agreement

At December 15, 2021 (the “Closing Date”), uniQure NV (the “Company”) and certain of its affiliates have entered into a third amended and restated loan and guarantee agreement (the “Amendment”) with Hercules Capital, Inc. (“Hercules”) and the various banks and other institutions or financial entities that are sometimes parties to it (collectively, the “Lender”), which have amended and updated in its entirety the Second Amended Loan and Guarantee Agreement up to date, dated
May 6, 2016, by and between the Company, Hercules and the Lenders (the “Loan Agreement”).

Under the Amendment, the Lenders have agreed to refinance the existing term loans (the “2021 Term Loan”) under the Loan Agreement (including a principal amount of $ 70 million was in progress on the closing date), terminate the remaining availability of the $ 35 million under the Loan Agreement, and make available a new $ 100 million term loan facility (“term loans”). The Company has withdrawn $ 100 million on the closing date, $ 70 million of which was used to refinance the 2021 Term Loan. Advances under the term loans bear interest at a rate equal to the greater of (i) the sum of 7.95%, plus the prime rate less three and a quarter one for one hundred (3.25%), or (ii) 7.95%. The principal balance and all accrued but unpaid interest on term loan advances are due on December 1, 2025. Advances on term loans may be prepaid upon written notice of at least five (5) business days. The Company may prepay all or part of the outstanding principal (but for an amount not less than $ 50 million or less if the applicable outstanding amount is less than $ 50,000,000 at the time of prepayment), as well as a prepayment charge of 1.50%, if paid within the first twenty-four (24) months of the Closing Date.

The Company paid a $ 500,000 facility fees at the balance sheet date.

The foregoing description of the Amendment does not purport to be complete and is qualified in its entirety by reference to the full text of the Amendment, a copy of which will be filed as an attachment to the Company’s annual report on Form 10-K for the year ended December 31, 2021.

Item 2.03 Creation of a Direct Financial Obligation or an Obligation under a

           Off-Balance Sheet Arrangement of a Registrant



The foregoing description in section 1.01 above regarding the modification is incorporated into this section 2.03 by reference. This description is qualified in its entirety by reference to the full text of the amendment, a copy of which will be filed as an attachment to the company’s annual report on Form 10-K for the fiscal year ended. December 31, 2021.

 Item 8.01 Other Events



At December 16, 2021, the Company issued a press release announcing a clinical update on the first patients of the Phase I / II clinical trial of AMT-130 gene therapy for the treatment of Huntington’s disease. A copy of the press release is attached to this current report on Form 8-K as Exhibit 99.1 and incorporated herein by reference.

Item 9.01 Financial statements and supporting documents




(d)      Exhibit



Exhibit No.   Description




  99.1     Press Release of uniQure N.V. dated December 16, 2021 announcing a
         clinical update on first patients in phase I/II clinical trial of
         AMT-130 gene therapy for the treatment of Huntington's disease.



104 Interactive cover page data file (integrated into the Inline XBRL document).

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