Alterity Therapeutics Ltd 6-K, filed Apr 29, 2024
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on April 29, 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 April 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: April 29, 2024
2
Exhibit 99.1
 |
Appendix 2A - Application for quotation of securities |
Announcement Summary
Entity name
ALTERITY THERAPEUTICS LIMITED
Announcement Type
New announcement
Date of this announcement
Monday April 29, 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
| ASX +security code | Security description | Number of |
issue date | |||
| ATH | ORDINARY FULLY PAID | 7,097,419 | 22/04/2024 |
Refer to next page for full details of the announcement
| Appendix 2A - Application for quotation of securities | 1 / 6 |
|
Appendix 2A - 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 | |
| ACN | 080699065 |
| 1.3 | ASX issuer code |
ATH
| 1.4 | The announcement is |
New announcement
| 1.5 | Date of this announcement |
29/4/2024
| Appendix 2A - Application for quotation of securities | 2 / 6 |
|
Appendix 2A - 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 +class of +securities to be quoted is: |
Additional +securities in a class that is already quoted on ASX (“existing class”)
| Appendix 2A - Application for quotation of securities | 3 / 6 |
|
Appendix 2A - Application for quotation of securities |
Part 3B - number and type of +securities to be quoted (existing class) where issue has not previously been notified to ASX in an Appendix 3B
Existing +securities converting into additional +securities in an existing class FROM (Existing Class)
ASX +security code and description
ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007
TO (Existing Class)
ASX +security code and description
ATH : ORDINARY FULLY PAID
| 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 | ||
| 7,097,419 | 22/4/2024 | 22/4/2024 |
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)?
No
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
22/4/2024
Will the +securities to be quoted rank equally in all respects from their issue date with the existing issued +securities in that class?
Yes
| Appendix 2A - Application for quotation of securities | 4 / 6 |
|
Appendix 2A - Application for quotation of securities |
Issue details
Number of +securities to be quoted
7,097,419
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 0.00700000 |
Any other information the entity wishes to provide about the +securities to be quoted
| Appendix 2A - Application for quotation of securities | 5 / 6 |
|
Appendix 2A - 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:
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 quoted on ASX following the +quotation of the +securities subject of this application) |
| ASX +security code and description | Total number of +securities on issue | |||
| ATH : ORDINARY FULLY PAID | 5,245,115,318 | |||
| 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 +securities on issue | |||
| ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007 | 1,935,759,704 | |||
| 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 | |||
| Appendix 2A - Application for quotation of securities | 6 / 6 |