Alterity Therapeutics Ltd 6-K, filed Mar 16, 2023
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on March 16, 2023.
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 March 2023
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 | Notice Under Section 708A |
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: March 16, 2023
2
Exhibit 99.1
| ASX ANNOUNCEMENT | 16 March 2023 |
Notice Under Section 708A(5)(e) of the Corporations Act
This notice is given by Alterity Therapeutics Limited ACN 080 699 065 (ASX: ATH, NASDAQ: ATHE) (“Alterity” or “the Company”), under section 708A(5)(e) of the Corporations Act 2001 (Cth) (Corporations Act).
Details of securities issued
| Type | Shares |
| Class/Description | Fully paid ordinary shares |
| ASX Code | ATH |
| Date of Issue | 15 March 2023 |
| Number Issued | 23,479,200 |
| Issue Price per Security | AUD 0.0076 |
The Company gives notice pursuant to section 708A(5)(e) of the Corporations Act that:
| 1. | the Company issued the Shares without disclosure 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 of the Corporations Act as they apply to the Company; and |
| (ii) | sections 674 and 674A of the Corporations Act; and |
| 3. | as at the date of this notice there is no information to be disclosed which is ‘excluded information’ (as defined in sections 708A(7) and 708A(8) of the Corporations Act) which is required to be disclosed by the Company. |
Phillip Hains
Company Secretary
Alterity Therapeutics Limited ACN 080 699 065
Level 3, 62 Lygon Street Carlton Victoria 3053 Australia
www.alteritytherapeutics.com