Alterity Therapeutics Ltd 6-K, filed Jul 6, 2021
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on July 6, 2021.
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of July 2021
Alterity Therapeutics Limited
(Name of Registrant)
Level 3, 460 Bourke Street, Melbourne, VIC 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 ☐
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): __
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): __
Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
Yes ☐ No ☒
If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): 82- _____
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. 333-251647, 333-249311, 333-231417 and 333-250076
ALTERITY THERAPEUTICS LIMITED
(a development stage enterprise)
The following exhibits are submitted:
| 99.1 |
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 | ||
| /s/ Geoffrey P. Kempler | ||
| By: Geoffrey P. Kempler | ||
| Chairman | ||
Date: July 6, 2021
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 July 05, 2021
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 code | Security description | Number of +securities to be quoted | Issue date | |||||
| ATH | ORDINARY FULLY PAID | 322,857,900 | 02/07/2021 | |||||
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 |
5/7/2021
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 | ||
| 02-Jul-2021 16:14 | 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?
|
No |
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
2/7/2021
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.
Number of +securities held |
Number of holders | Total percentage of +securities held For example, to enter a value of 50% 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
322,857,900
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 0.05320000 |
Any other information the entity wishes to provide about the +securities to be quoted
N/A
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 | 2,406,874,578 | |||
| 4.2 | Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX) |
| ASX +security code and description | Total +securities | |||
| ATHAI : OPTION EXPIRING 31-JAN-2023 EX $0.083 | 700,000 | |||
| ATHAAB : OPTION EXPIRING 17-SEP-2025 EX $0.09 | 49,000,000 | |||
| ATHAS : OPTION EXPIRING 06-JUN-2022 EX 7C | 7,000,000 | |||
| ATHAAA : OPTION EXPIRING 14-DEC-2022 EX 11C | 13,850,000 | |||
| ATHAAC : OPTION EXPIRING 23-NOV-2023 EX $0.07 | 674,694,939 | |||
| ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 | 91,392,720 | |||
Application for quotation of +securities | 6 / 6 |