Alterity Therapeutics Ltd 6-K, filed Feb 2, 2024
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on February 2, 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 February 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 |
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: February 2, 2024
2
Exhibit 99.1
 |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Announcement Summary |
|
Entity name
ALTERITY THERAPEUTICS LIMITED
Date of this announcement
Friday February 02, 2024
The +securities the subject of this notification are:
+Securities issued as part of a transaction or transactions previously
announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX
Total number of +securities to be issued/transferred
| ASX +security code | Security description | Total number of +securities to be issued/transferred |
Issue date | |||||
| ATHAAI | OPTION EXPIRING 31-AUG-2024 EX $0.007 | 571,428,556 | 02/02/2024 | |||||
Refer to next page for full details of the announcement
| Notification of Issue, Conversion or Payment up of Unquoted | 1 / 5 |
|
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
| Part 1 - Entity and announcement details | |
1.1 Name of entity
ALTERITY THERAPEUTICS LIMITED
We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.
| 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
2/2/2024
| Notification of Issue, Conversion or Payment up of Unquoted | 2 / 5 |
|
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
| Part 2 - Issue details | |
2.1 The +securities the subject of this notification are:
+Securities issued as part of a transaction or transactions previously
announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX
| Announcement Date and Time | Announcement Title | Selected Appendix 3B to submit quotation request | ||
| 22-Nov-2023 09:55 | 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
| Notification of Issue, Conversion or Payment up of Unquoted | 3 / 5 |
|
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
| Part 3A - number and type of +securities the subject of this notification (existing class or new class) where issue has previously been notified to ASX in an Appendix 3B | |
Placement Details
ASX +security code and description
ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007
Date the +securities the subject of this notification were issued
2/2/2024
Any other information the entity wishes to provide about the +securities the subject of this notification
Short-Dated Options issued per Securities Purchase Plan result announced 2 February 2024
Issue details
Number of +securities
571,428,556
Were the +securities issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
One (1) free attaching short-dated option per one (1) share issued under SPP per Prospectus issued 29 December 2023
| Notification of Issue, Conversion or Payment up of Unquoted | 4 / 5 |
|
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Part 4 - +Securities on issue |
|
Following the issue, conversion or payment up of the +securities the subject of this application, the +securities 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)
| ASX +security code and description | Total number of +securities on issue | |||
| ATH : ORDINARY FULLY PAID | 3,811,326,185 | |||
| ATHO : OPTION EXPIRING 31-AUG-2026 | 457,142,830 | |||
4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)
| ASX +security code and description | Total number of +securities on issue |
|||
| ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007 | 1,942,857,123 | |||
| 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 | |||
| Notification of Issue, Conversion or Payment up of Unquoted | 5 / 5 |