UNITED
STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 193 |
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OMB Number: 325-0101 | ||
Expires: June 30, 2020 | ||
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SEC USE ONLY | ||
DOCUMENT
SEQUENCE NO. | ||
CUSIP
NUMBER | ||
ATTENTION: | Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker | WORK
LOCATION |
1
(a) NAME OF ISSUER (Please type or print) |
(b) IRS IDENT. NO. | (c) S.E.C. FILE NO. | ||||
CENTOGENE N.V. | not applicable | 001-39124 | ||||
1
(d) ADDRESS OF ISSUER |
STREET |
CITY |
STATE |
ZIP CODE |
(e) TELEPHONE NO. | |
Area Code | Number | |||||
Am Strande 7 | Rostock | MV, Germany | 18055 | +49 | 381 80113400 |
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD | (b) RELATIONSHIP TO ISSUER | (c) ADDRESS STREET | CITY | STATE | ZIP CODE |
Richard Stoffelen | CFO | Linienstrasse 10 | Berlin | Germany | 12526 |
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
SEC
USE Broker-Dealer File
Number (g)
Name of Each Van Lanschot Kempen
Wealth Management N.V. Hooge Steenweg 29 US$ 909,208.95(1) 22,194,992
3 (a)
Title of the Class of Securities To Be Sold
(b)
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring
the Securities
ONLY(c)
Number of Shares or Other Units To Be Sold (See instr. 3(c))
(d)
Aggregate Market Value
(See instr. 3(d))(e)
Number of Shares or Other Units Outstanding (See instr. 3(e))
(f)
Approximate Date of Sale (See instr. 3(f))
(MO. DAY YR.)
Securities
Exchange
(See instr. 3(g))
Common
Shares, par value €0.12
5211 JN's Hertogenbosch
The Netherlands
75,459
(based on closing price Jan 21, 2021)as soon as practicable
NASDAQ Global Market
INSTRUCTIONS:
1. | (a) Name of issuer (b) Issuer’s I.R.S. Identification Number (c) Issuer’s S.E.C. file number, if any (d) Issuer’s address, including zip code (e) Issuer’s telephone number, including area code |
3. | (a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold |
2 | (a) Name of person for whose account the securities are to be sold (b) Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (c) Such person’s address, including zip code |
Potential persons who are to 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.
TABLE I — SECURITIES TO BE SOLD
| ||||||
Furnish
the following information with respect to the acquisition of the securities to be sold
| ||||||
Title of the Class | Date you Acquired | Nature of Acquisition Transaction | Name
of Person from Whom Acquired (If gift, also give date donor acquired) |
Amount
of Securities Acquired |
Date of Payment | Nature of Payment |
Common Shares, par value €0.12 |
2019 and 2020 | Company Employee Incentive Plan of 2016 and Company LTIP of 2020 |
CENTOGENE N.V. | 140,169 from the 2016 plan and 10,750 from the 2020 plan |
none as no payment made |
n/a |
INSTRUCTIONS: | If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. |
TABLE II — SECURITIES SOLD DURING THE PAST 3 MONTHS | ||||
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold. | ||||
Name and Address of Seller | Title of Securities Sold | Date of Sale | Amount of Securities Sold | Gross Proceeds |
REMARKS:
(1) Based on closing price of $12.05 per share as of January 21, 2021
INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. |
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instructions given, that person makes such representation as of the plan adoption or instruction date. |
January 27, 2021 |
Date of Notice |
Date of Plan Adoption or Giving of Instruction, if Relying on Rule 10b5-1. |
/s/ Richard Stoffelen |
(Signature) |
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |