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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% | 2.01 | 1.50 | 2.25 | 0 | 09:00:00 |
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 January 2024
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 | Application for quotation of 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: January 18, 2024
2
Exhibit 99.1
Application for quotation of +securities |
Announcement Summary | |
Entity name
ALTERITY THERAPEUTICS LIMITED
Announcement Type
New announcement
Date of this announcement
Thursday January 18, 2024
The +securities to be quoted are:
+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted
Total number of +securities to be quoted
Number of | ||||||
ASX +security code | Security description | +securities to be quoted | Issue date | |||
New class - code to be confirmed | OPTION EXPIRING 31-AUG-2026 EX $0.01 | 457,142,830 | 08/01/2024 |
Refer to next page for full details of the announcement
Application for quotation of +securities | 1 / 7 |
Application for quotation of +securities |
Part 1 - Entity and announcement details | |
1.1 | Name of +Entity |
ALTERITY THERAPEUTICS LIMITED
We (the entity named above) apply for +quotation of the following +securities and agree to the matters set out in Appendix 2A of the ASX Listing Rules.
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 |
18/1/2024
Application for quotation of +securities | 2 / 7 |
Application for quotation of +securities |
Part 2 - Type of Issue | |
2.1 The +securities to be quoted are:
+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted
2.2 The +securities to be quoted are:
New +securities in a class that is not yet quoted on ASX (“new class”)
Application for quotation of +securities | 3 / 7 |
Application for quotation of +securities |
Part 3C - number and type of +securities to be quoted (new class) where issue has not previously been notified to ASX in an Appendix 3B | |
Existing +securities converting into a new class
FROM (Existing Class)
ASX +security code and description
ATHAAJ : OPTION EXPIRING 31-AUG-2026 EX $0.01
TO (New Class) ASX +security code
New class - code to be confirmed
TO (New Class)
+Security description
OPTION EXPIRING 31-AUG-2026 EX $0.01
TO (New Class) | TO (New Class) | |
+Security type | ISIN Code |
Options
Please state the number of options that were exercised or other +convertible securities that were converted | The first date the options were exercised or other +convertible securities were converted | The last date the options were exercised or other +convertible securities were converted | ||||
457,142,830 | 18/1/2024 | 18/1/2024 |
Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)?
Yes
The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by:
An issue of new +securities
The underlying securities being received by the holder are:
Intended to be, but are not yet, quoted by ASX
Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme?
No
Issue date
8/1/2024
Application for quotation of +securities | 4 / 7 |
Application for quotation of +securities |
Will all the +securities issued in this class rank equally in all respects from the issue date?
Yes
Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?
No
Distribution Schedule
Provide a distribution schedule for the new +securities according to the categories set out in the left hand column - including the number of recipients and the total percentage of the new +securities held by the recipients in each category.
Total percentage of +securities held | ||||||
For example, to enter a value of 50% | ||||||
Number of +securities held | Number of holders | please input as 50.00 | ||||
1 - 1,000 | 0 | 0.00 | % | |||
1,001 - 5,000 | 0 | 0.00 | % | |||
5,001 - 10,000 | 0 | 0.00 | % | |||
10,001 - 100,000 | 0 | 0.00 | % | |||
100,001 and over | 72 | 100.00 | % |
Options Details
+Security currency | Exercise price | Expiry date | ||
AUD - Australian Dollar | AUD 0.01000000 | 31/8/2026 |
Details of the type of +security that will be issued if an option is exercised
ATH : ORDINARY FULLY PAID
Number of +securities that will be issued if an option is exercised
One ATH Ordinary Fully Paid Share
Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities to be quoted or provide the information by separate announcement.
Options Prospectus lodged 29 Dec 2023
https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02758927-3A634120
Application for quotation of +securities | 5 / 7 |
Application for quotation of +securities |
Issue details |
Number of +securities to be quoted
457,142,830
Are the +securities being issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
One (1) free attaching long-dated option issued for each three (3) Placement shares issued per Placement announcement 22 Nov 2023 and Prospectus dated 29 December 2023
Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted
0.002000
Any other information the entity wishes to provide about the +securities to be quoted
Application for quotation of +securities | 6 / 7 |
Application for quotation of +securities |
Part 4 - Issued capital following quotation | |
Following the quotation of the +securities the subject of this application, the issued capital 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 on ASX following the +quotation of the +securities subject of this application)
Total number of | ||||
ASX +security code and description | +securities on issue | |||
ATH : ORDINARY FULLY PAID | 3,811,326,185 | |||
New class - code to be confirmed : OPTION EXPIRING 31-AUG-2026 EX $0.01 | 457,142,830 |
4.2 Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX)
Total number of | ||||
ASX +security code and description | +securities on issue | |||
ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007 | 1,371,428,567 | |||
ATHAAJ : OPTION EXPIRING 31-AUG-2026 EX $0.01 | 0 | |||
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 | |||
ATHAAH : OPTION EXPIRING 19-DEC-2026 EX $0.0105 | 8,000,000 | |||
ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 | 91,392,720 |
Application for quotation of +securities | 7 / 7 |
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