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Name | Symbol | Market | Type |
---|---|---|---|
Alterity Therapeutics Limited | NASDAQ:ATHE | NASDAQ | Depository Receipt |
Price Change | % Change | Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 1.96 | 1.85 | 2.25 | 0 | 01:00:00 |
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-163
UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of December 2023
Alterity Therapeutics Limited
(Name of Registrant)
Level 14, 350 Collins Street, Melbourne, Victoria 3000 Australia
(Address of Principal Executive Office)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form 20-F ☒ Form 40-F ☐
This Form 6-K is being incorporated by reference into our Registration Statement on Form S-8 (Files No. 333-251073, 333-248980 and 333-228671) and our Registration Statements on Form F-3 (Files No. 333-274816, 333-251647, 333-231417 and 333-250076)
ALTERITY THERAPEUTICS LIMITED
(a development stage enterprise)
The following exhibits are submitted:
99.1 | Notification regarding unquoted securities - ATH |
1
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Alterity Therapeutics Limited | ||
By: | /s/ Geoffrey P. Kempler | |
Geoffrey P. Kempler | ||
Chairman |
Date: December 21, 2023
2
Exhibit 99.1
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Announcement Summary |
|
Entity name
ALTERITY THERAPEUTICS LIMITED
Date of this announcement
Thursday December 21, 2023
The +securities the subject of this notification are:
+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX
Total number of +securities to be issued/transferred
ASX +security code | Security description | Total number of +securities to be issued/transferred | Issue date | |||||
New class - code to be confirmed | Options issued under employee incentive scheme | 8,000,00 | 21/12/2023 |
Refer to next page for full details of the announcement
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 1/6 |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Part 1 - Entity and announcement details | |
1.1 Name of entity
ALTERITY THERAPEUTICS LIMITED
We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.
1.2 Registered Number Type | Registration number | |
ABN | 37080699065 |
1.3 ASX issuer code
ATH
1.4 The announcement is
New announcement
1.5 Date of this announcement
21/12/2023
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 2/6 |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Part 2 - Issue details | |
2.1 The +securities the subject of this notification are:
+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX
2.2 a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:
does not have an existing ASX security code (“new class”)
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 3/6 |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Part 3C - number and type of +securities the subject of this notification (new class) where issue has not previously been notified to ASX in an Appendix 3B | |
ASX +security code | +Security description | |
New class - code to be confirmed | Options issued under employee incentive scheme | |
+Security type |
ISIN code | |
Options |
Date the +securities the subject of this notification were issued
21/12/2023
Will all the +securities issued in this class rank equally in all respects from their issue date?
Yes
Were any of the +securities issued to +key management personnel (KMP) or an +associate?
No
Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?
No
Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.
Options Details | |
+Security currency | Exercise price | Expiry date |
AUD - Australian Dollar | AUD 0.01050000 | 19/12/2026 |
Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option
Other
Description
ATH : ORDINARY FULLY PAID |
Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms
https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02581610-3A604443 |
Any other information the entity wishes to provide about the +securities the subject of this notification
Issue details | |
Number of +securities
8,000,000
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 4/6 |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Part 4 - +Securities on issue |
|
Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise:
(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)
4.1 Quoted +Securities (Total number of each +class of +securities quoted)
ASX +security code and description | Total number of +securities on issue | |||
ATH : ORDINARY FULLY PAID | 2,802,360,380 |
4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)
ASX +security code and description | Total number of +securities on issue | |||
ATHAAE : OPTION EXPIRING 29-NOV-2026 EX $0.0375 | 19,250,000 | |||
ATHAAF : OPTION EXPIRING 31-JUL-2024 EX $0.07 | 12,000,000 | |||
ATHAAG : OPTION EXPIRING 29-NOV-2026 EX $0.0238 | 11,900,000 | |||
ATHAAB : OPTION EXPIRING 17-SEP-2025 EX $0.09 | 35,000,000 | |||
ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 | 91,392,720 | |||
New class - code to be confirmed : Options issued under employee incentive scheme | 8,000,000 |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 5/6 |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Part 5 - Other Listing Rule requirements |
|
5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1?
Yes
5.1 a Select the number of the applicable exception in Listing Rule 7.2
13
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 6/6 |
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