Alterity Therapeutics Ltd 6-K, filed Dec 15, 2021
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on December 15, 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 December 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: December 15, 2021
2
Exhibit 99.1
 |
Notification of cessation of +securities | |
| Announcement Summary | |
Entity name
ALTERITY THERAPEUTICS LIMITED
Announcement Type
New announcement
Date of this announcement
Wednesday December 15, 2021
Details of +securities that have ceased
| ASX +security code | Security description | Number of +securities that have ceased |
The +securities have ceased due to | Date of cessatio | ||||
| ATHAAA | OPTION EXPIRING 14-DEC-2022 EX 11C | 1,400,000 | Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied | 14/12/2021 |
Refer to next page for full details of the announcement
Notification of cessation of +securities | 1 / 4 |
|
Notification of cessation of +securities | |
| Part 1 - Announcement Details | |
| 1.1 | Name of +Entity |
ALTERITY THERAPEUTICS LIMITED
We (the entity named above) provide the following information about our issued capital.
| 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 |
15/12/2021
Notification of cessation of +securities | 2 / 4 |
|
Notification of cessation of +securities | |
| Part 2 - Details of +equity securities or +debt securities that have ceased | |
ASX +Security Code and Description
ATHAAA : OPTION EXPIRING 14-DEC-2022 EX 11C
Unquoted +equity securities that have ceased
Number of securities that have ceased
1,400,000
Reason for cessation
Lapse of conditional right to securities because the conditions have not been, or have become incapable of being, satisfied
| Date of cessation | Is the entity paying any consideration for the cessation? | ||
| 14/12/2021 | No |
Any other information the entity wishes to notify to ASX about the cessation?
Notification of cessation of +securities | 3 / 4 |
|
Notification of cessation of +securities | |
| Part 3 - Issued capital following changes | |
Following the cessation of the +securities the subject of this notification, the issued capital of the entity will comprise:
| 3.1 | Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX) |
| ASX +security code and description | Total number of +securities on issue | |||
| ATH : ORDINARY FULLY PAID | 2,406,874,578 | |||
| 3.2 | Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX) |
ASX +security code and description | Total number of +securities on issue | |||
| 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 | 12,450,000 | |||
| ATHAAC : OPTION EXPIRING 23-NOV-2023 EX $0.07 | 674,694,939 | |||
| ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 | 91,392,720 | |||
Note: the figures stated in the tables above are used to calculate the total market capitalisation of the entity published by ASX from time to time. The table will not include those classes of +securities that have ceased or lapsed in their entirety in ASX records before the announcement date described in Q1.5, even if the entity has advised ASX of a change to that class of +security in Part 2 of this form.
Notification of cessation of +securities | 4 / 4 |