Alterity Therapeutics Ltd 6-K, filed Dec 15, 2022
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on December 15, 2022.
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 December 2022
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 | Change of Director’s Interest Notice x 4 |
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: December 15, 2022
2
Exhibit 99.1
Appendix
3Y
Change of Director’s Interest Notice
Rule 3.19A.2
Appendix 3Y
Change of Director’s Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001.. Amended 01/01/11
| Name of Entity: | Alterity Therapeutics Limited | (ASX:ATH) |
| ABN: | 37 080 699 065 | |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director: | Mr. Geoffrey Kempler |
| Date of Last Notice: | 21 September 2020 |
Part 1 - Change of director’s relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Direct or indirect interest | Direct | ||||
|
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. |
Director related entity | ||||
| Date of change | 14 December 2022 | ||||
| No. of securities held prior to change | |||||
| Shares | Options | ||||
| Direct | 30,000 | 19,000,000 | |||
| Indirect | 17,981,000 | - | |||
| Total | 18,011,000 | 19,000,000 | |||
| Class | Unlisted Options | ||||
| Number acquired | |||||
| Shares | Options | ||||
| Direct | - | - | |||
| Indirect | - | - | |||
| Total | - | - | |||
| Number disposed | |||||
| Shares | Options | ||||
| Direct | - | 5,000,000 | |||
| Indirect | - | - | |||
| Total | - | 5,000,000 | |||
|
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation |
n/a | ||||
| + See chapter 19 for defined terms. | ||
| 11/3/2022 | Appendix 3Y Page 1 | |
Appendix
3Y
Change of Director’s Interest Notice
| No. of securities held after change | |||||
| Shares | Options | ||||
| Direct | 30,000 | 14,000,000 | |||
| Indirect | 17,981,000 | - | |||
| Total | 18,011,000 | 14,000,000 | |||
|
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Expiry of incentive options under ESOP | ||||
Part 2 – Change of director’s interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Detail of contract | |
| Nature of interest | |
|
Name of registered holder (if issued securities) |
|
| Date of change | |
|
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed |
|
| Interest acquired | |
| Interest disposed | |
|
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation |
|
| Interest after change |
Part 3 - +Closed Period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
| If so, was prior written clearance provided to allow the trade to proceed during this period? | N/A |
| If prior written clearance was provided on what date was this provided? | N/A |
 |
The CFO Solution |
| + See chapter 19 for defined terms. | ||
| Appendix 3Y Page 2 | 01/01/2011 | |
Appendix
3Y
Change of Director’s Interest Notice
Rule 3.19A.2
Appendix 3Y
Change of Director’s Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001. Amended 01/01/11
| Name of Entity: | Alterity Therapeutics Limited | (ASX:ATH) |
| ABN: | 37 080 699 065 | |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director: | Mr. Peter Marks |
| Date of Last Notice: | 21 September 2020 |
Part 1 - Change of director’s relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Direct or indirect interest | Direct | ||||
|
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. |
- | ||||
| Date of change | 14 December 2022 | ||||
| No. of securities held prior to change | |||||
| Shares | Options | ||||
| Direct | - | 8,250,000 | |||
| Indirect | 43,111 | - | |||
| Total | 43,111 | 8,250,000 | |||
| Class | Unlisted Options | ||||
| Number acquired | |||||
| Shares | Options | ||||
| Direct | - | - | |||
| Indirect | - | - | |||
| Total | - | - | |||
| Number disposed | |||||
| Shares | Options | ||||
| Direct | - | 1,250,000 | |||
| Indirect | - | - | |||
| Total | - | 1,250,000 | |||
|
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation |
n/a | ||||
| + See chapter 19 for defined terms. | ||
| 01/01/2011 | Appendix 3Y Page 3 | |
Appendix
3Y
Change of Director’s Interest Notice
| No. of securities held after change | |||||
| Shares | Options | ||||
| Direct | - | 7,000,000 | |||
| Indirect | 43,111 | - | |||
| Total | 43,111 | 7,000,000 | |||
|
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Expiry of incentive options under ESOP | ||||
Part 2 – Change of director’s interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Detail of contract | |
| Nature of interest | |
|
Name of registered holder (if issued securities) |
|
| Date of change | |
|
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed |
|
| Interest acquired | |
| Interest disposed | |
|
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation |
|
| Interest after change |
Part 3 - +Closed Period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
| If so, was prior written clearance provided to allow the trade to proceed during this period? | N/A |
| If prior written clearance was provided on what date was this provided? | N/A |
| |
The CFO Solution |
| + See chapter 19 for defined terms. | ||
| Appendix 3Y Page 4 | 01/01/2011 | |
Appendix 3Y
Change of Director’s Interest Notice
Rule 3.19A.2
Appendix 3Y
Change of Director’s Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001.. Amended 01/01/11
| Name of Entity: | Alterity Therapeutics Limited (ASX:ATH) |
| ABN: | 37 080 699 065 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director: | Mr. Brian Meltzer |
| Date of Last Notice: | 21 September 2020 |
Part 1 - Change of director’s relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Direct or indirect interest | Direct | ||||
|
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. |
- | ||||
| Date of change | 14 December 2022 | ||||
| No. of securities held prior to change | |||||
| Shares | Options | ||||
| Direct | - | 8,250,000 | |||
| Indirect | 326,666 | - | |||
| Total | 326,666 | 8,250,000 | |||
| Class | Unlisted Options | ||||
| Number acquired | |||||
| Shares | Options | ||||
| Direct | - | - | |||
| Indirect | - | - | |||
| Total | - | - | |||
| Number disposed | |||||
| Shares | Options | ||||
| Direct | - | 1,250,000 | |||
| Indirect | - | - | |||
| Total | - | 1,250,000 | |||
| + See chapter 19 for defined terms. | ||
| 11/3/2002 | Appendix 3Y Page 5 | |
Appendix
3Y
Change of Director’s Interest Notice
|
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation |
n/a | ||||
| No. of securities held after change | |||||
| Shares | Options | ||||
| Direct | - | 7,000,000 | |||
| Indirect | 326,666 | - | |||
| Total | 326,666 | 7,000,000 | |||
|
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Expiry of incentive options under ESOP | ||||
Part 2 – Change of director’s interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Detail of contract | |
| Nature of interest | |
|
Name of registered holder (if issued securities) |
|
| Date of change | |
|
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed |
|
| Interest acquired | |
| Interest disposed | |
|
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation |
|
| Interest after change |
Part 3 - +Closed Period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
| If so, was prior written clearance provided to allow the trade to proceed during this period? | N/A |
| If prior written clearance was provided on what date was this provided? | N/A |
| |
The CFO Solution |
| + See chapter 19 for defined terms. | ||
| Appendix 3Y Page 6 | 01/01/2011 | |
Appendix 3Y
Change of Director’s Interest Notice
Rule 3.19A.2
Appendix 3Y
Change of Director’s Interest Notice
Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001. Amended 01/01/11
| Name of Entity: | Alterity Therapeutics Limited (ASX:ATH) |
| ABM: | 37 080 699 065 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director: | Mr. Lawrence Gozlan |
| Date of Last Notice: | 21 September 2020 |
Part 1 - Change of director’s relevant interests in securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Direct or indirect interest | Direct | ||||
|
Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. |
- | ||||
| Date of change | 14 December 2022 | ||||
| No. of securities held prior to change | |||||
| Shares | Options | ||||
| Direct | - | 8,250,000 | |||
| Indirect | - | - | |||
| Total | - | 8,250,000 | |||
| Class | Unlisted Options | ||||
| Number acquired | |||||
| Shares | Options | ||||
| Direct | - | - | |||
| Indirect | - | - | |||
| Total | - | - | |||
| Number disposed | |||||
| Shares | Options | ||||
| Direct | - | 1,250,000 | |||
| Indirect | - | - | |||
| Total | - | 1,250,000 | |||
| + See chapter 19 for defined terms. | ||
| 01/01/2011 | Appendix 3Y Page 7 | |
Appendix 3Y
Change of Director’s Interest Notice
|
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation |
n/a | ||||
| No. of securities held after change | |||||
| Shares | Options | ||||
| Direct | - | 7,000,000 | |||
| Indirect | - | - | |||
| Total | - | 7,000,000 | |||
|
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Expiry of incentive options under ESOP | ||||
Part 2 – Change of director’s interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Detail of contract | |
| Nature of interest | |
|
Name of registered holder (if issued securities) |
|
| Date of change | |
|
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed |
|
| Interest acquired | |
| Interest disposed | |
|
Value/Consideration Note: If consideration is non-cash, provide details and an estimated valuation |
|
| Interest after change |
Part 3 - +Closed Period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
| If so, was prior written clearance provided to allow the trade to proceed during this period? | N/A |
| If prior written clearance was provided on what date was this provided? | N/A |
| |
The CFO Solution |
| + See chapter 19 for defined terms. | ||
| Appendix 3Y Page 8 | 01/01/2011 | |