Form 6-K - Report of foreign issuer [Rules 13a-16 and 15d-16]

 

 

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 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

Notification regarding unquoted securities

 

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 31, 2024

 

 

2

 

 

Exhibit 99.1

 

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

Announcement Summary

 

 

 

Entity name

 

ALTERITY THERAPEUTICS LIMITED

 

Date of this announcement

 

Monday December 30, 2024

 

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	UNLISTED OPTIONS EXPIRING 30-DEC-2027 EX $0.01	170,000,000	30/12/2024

 

Refer to next page for full details of the announcement

 

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Appendix 3G - 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

 

30/12/2024

 

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Appendix 3G - 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

 

2.2a 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")

 

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Part 3C - number and type of +securities the subject of this notification (new class)

 

 

 

ASX +security code		+Security description
New class - code to be confirmed		UNLISTED OPTIONS EXPIRING 30-DEC-2027 EX $0.01
+Security type		ISIN code
Options

 

Date the +securities the subject of this notification were issued

 

30/12/2024

 

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?

 

Yes

 

Provide details of the KMP or +associates being issued +securities.

 

Name of KMP		Name of registered holder		Number of +securities
LAWRENCE GOZLAN		LAWRENCE GOZLAN		50,000,000
GEOFFREY KEMPLER		GEOFFREY KEMPLER		60,000,000
PETER MARKS		PETER MARKS		30,000,000
BRIAN MELTZER		BRIAN MELTZER		30,000,000

 

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 0.01000000	30/12/2027

 

Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option

 

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://app.sharelinktechnologies.com/announcement/asx/7cdc0075ea809585dca4cb33e0963c5c

 

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

 

Issue details

 

 

 

Number of +securities

 

170,000,000

 

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Appendix 3G - 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 notification, the +securities of the entity will comprise:

 

The figures in parts 4.1 and 4.2 below are automatically generated and may not reflect the entity's current issued capital if other Appendix 2A, Appendix 3G or Appendix 3H forms are currently with ASX for processing.

 

4.1 Quoted +securities (Total number of each +class of +securities issued and quoted on ASX)

 

ASX +security code and description		Total number of +securities on issue
ATH : ORDINARY FULLY PAID			5,320,336,118
ATHO : OPTION EXPIRING 31-AUG-2026			932,706,668

 

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			14,250,000
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
ATHAB : OPTION EXPIRING 13-MAR-2029 EX US$0.0031			62,500,000
ATHAA : OPTION EXPIRING 13-MAR-2029 EX $0.004			26,500,000
ATHAC : OPTION EXPIRING 21-MAR-2029 EX US$0.003			120,000,000
ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032			91,392,720
New class - code to be confirmed : UNLISTED OPTIONS EXPIRING 30-DEC-2027 EX $0.01			170,000,000

 

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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?

 

No

 

5.2 Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1?

 

Yes

 

5.2a Date of meeting or proposed meeting to approve the issue under listing rule 7.1

 

22/11/2024

 

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