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
ASX ANNOUNCEMENT
Notice Under Section 708A(5) of the Corporations Act
ASX Code: ATH
This notice is given under paragraph (5)(e) of section 708A of the Corporations Act.
| Type: | Shares |
| Class/Description: | Fully paid ordinary shares |
| ASX Code: | ATH |
| Date of Issue: | 5 July 2021 |
| Number Issued: | 322,857,900 |
| Issue Price per Security: | AUD 0.0532 |
Accordingly, the Company gives notice under section 708A(5)(e) of the Corporations Act 2001 (Cth) (the “Corporations Act”) that:
| 1. | the abovementioned ordinary shares were issued without disclosure to investors under Part 6D.2 of the Corporations Act; |
| 2. | as at the date of this notice, the Company has complied with: |
| (i) | the provisions of Chapter 2M Corporations Act as they apply to the Company; and |
| (ii) | section 674 Corporations Act; and |
| 3. | as at the date of this notice, there is no “excluded information” (as defined in subsection 708A(7) of the Corporations Act), which is required to be disclosed by the Company. |
| For and on behalf of the Company, | |
| /s/ Phillip Hains | |
Phillip Hains Company Secretary |