Alterity Therapeutics Ltd 6-K, filed Jan 8, 2024
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on January 8, 2024.
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 8, 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
Monday January 08, 2024
The +securities to be quoted are:
+Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B
Total number of +securities to be quoted
| ASX +security | Number of +securities to | |||||
| code | Security description | be quoted | Issue date | |||
| ATH | ORDINARY FULLY PAID | 1,008,965,805 | 08/01/2024 |
Refer to next page for full details of the announcement
| Application for quotation of +securities | 1 / 6 |
| |
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 |
8/1/2024
| Application for quotation of +securities | 2 / 6 |
| |
Application for quotation of +securities |
| Part 2 - Type of Issue | |
2.1 The +securities to be quoted are:
+Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B
Previous Appendix 3B details:
| Announcement Date and Time | Announcement Title | Selected Appendix 3B to submit quotation request | ||
| 22-Nov-2023 10:02 | New - Proposed issue of securities - ATH | A placement or other type of issue |
2.3a.2 Are there any further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B?
Yes
2.3a.3 Please provide details of the further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B
Options to be issued in subsequent Appendix 3G
| Application for quotation of +securities | 3 / 6 |
| |
Application for quotation of +securities |
| Part 3A - number and type of +securities to be quoted where issue has previously been notified to ASX in an Appendix 3B | |
Placement Details
ASX +security code and description
ATH : ORDINARY FULLY PAID
Issue date
8/1/2024
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 | % | |||
| 1,001 - 5,000 | % | |||
| 5,001 - 10,000 | % | |||
| 10,001 - 100,000 | % | |||
| 100,001 and over | % |
| Application for quotation of +securities | 4 / 6 |
| |
Application for quotation of +securities |
| Issue details | |
Number of +securities to be quoted
1,008,965,805
Are the +securities being issued for a cash consideration?
Yes
| In what currency is the cash consideration being paid? | What is the issue price per +security? |
| AUD - Australian Dollar | AUD 0.00350000 |
Any other information the entity wishes to provide about the +securities to be quoted
Issue of shares per Tranche Two of Placement
| Application for quotation of +securities | 5 / 6 |
| |
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 | |||
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 | |||
| 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 | 6 / 6 |