Alterity Therapeutics Ltd 6-K, filed Jul 2, 2021
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on July 2, 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 2, 2021
2
Exhibit 99.1
 |
Proposed issue of securities |
| Announcement Summary | |
Entity name
ALTERITY THERAPEUTICS LIMITED
Announcement Type
New announcement
Date of this announcement
2/7/2021
The Proposed issue is:
 |
A placement or other type of issue |
Total number of +securities proposed to be issued for a placement or other type of issue
| ASX +security code | +Security description | Maximum Number of +securities to be issued | ||
| ATH | ORDINARY FULLY PAID | 322,857,900 |
Proposed +issue date
2/7/2021
Refer to next page for full details of the announcement
| Proposed issue of securities | 1/5 |
|
Proposed issue of securities |
| Part 1 - Entity and announcement details | |
| 1.1 | Name of +Entity |
ALTERITY THERAPEUTICS LIMITED
We (the entity named above) give ASX the following information about a proposed issue of +securities and, if ASX agrees to +quote any of the +securities (including any rights) on a +deferred settlement basis, we agree to the matters set out in Appendix 3B of the ASX Listing Rules.
If the +securities are being offered under a +disclosure document or +PDS and are intended to be quoted on ASX, we also apply for quotation of all of the +securities that may be issued under the +disclosure document or +PDS on the terms set out in Appendix 2A of the ASX Listing Rules (on the understanding that once the final number of +securities issued under the +disclosure document or +PDS is known, in accordance with Listing Rule 3.10.3C, we will complete and lodge with ASX an Appendix 2A online form notifying ASX of their issue and applying for their quotation).
| 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 |
2/7/2021
| 1.6 | The Proposed issue is: | |
| A placement or other type of issue |
| Proposed issue of securities | 2/5 |
|
Proposed issue of securities |
| Part 7 - Details of proposed placement or other issue | |
| Part 7A - Conditions | |
7A.1 Do any external approvals need to be obtained or other conditions satisfied before the placement or other type of issue can proceed on an unconditional basis?
| No |
| Part 7B - Issue details | |
| Is the proposed security a ‘New | Will the proposed issue of this | |||
| class’ (+securities in a class that is | +security include an offer of | |||
| not yet quoted or recorded by ASX) | of attaching +securities? | |||
| or an ‘Existing class’ (additional | |
No | ||
| securities in a class that is already | ||||
| quoted or recorded by ASX)? | ||||
|
Existing class | |||
Details of +securities proposed to be issued
ASX +security code and description
ATH : ORDINARY FULLY PAID
Number of +securities proposed to be issued
322,857,900
Offer price details
Are the +securities proposed to be issued being issued for a cash consideration?
|
Yes |
| In what currency is the cash | What is the issue price per | |
| consideration being paid? | +security? | |
| AUD - Australian Dollar | AUD 0.05320 |
Will these +securities rank equally in all respects from their issue date with the existing issued +securities in that class?
|
Yes |
| Proposed issue of securities | 3/5 |
|
Proposed issue of securities |
| Part 7C - Timetable | |
7C.1 Proposed +issue date
2/7/2021
| Part 7D - Listing Rule requirements | |
7D.1 Has the entity obtained, or is it obtaining, +security holder approval for the entire issue under listing rule 7.1?
| No |
7D.1b Are any of the +securities proposed to be issued without +security holder approval using the entity’s 15% placement capacity under listing rule 7.1?
| Yes |
7D.1b ( i ) How many +securities are proposed to be issued without security holder approval using the entity’s 15% placement capacity under listing rule 7.1?
(ASX:ATH) 251,575,797
7D.1c Are any of the +securities proposed to be issued without +security holder approval using the entity’s additional 10% placement capacity under listing rule 7.1A (if applicable)?
| Yes |
7D.1c ( i ) How many +securities are proposed to be issued without +security holder approval using the entity’s additional 10% placement capacity under listing rule 7.1A?
(ASX:ATH) 71,282,103
7D.1c ( ii ) Please explain why the entity has chosen to do a placement rather than a +pro rata issue or an offer under a +security purchase plan in which existing ordinary +security holders would have been eligible to participate
Due to the costs and timing benefits of completing the placement.
7D.2 Is a party referred to in listing rule 10.11 participating in the proposed issue?
| No |
7D.3 Will any of the +securities to be issued be +restricted securities for the purposes of the listing rules?
| No |
7D.4 Will any of the +securities to be issued be subject to +voluntary escrow?
| No |
| Part 7E - Fees and expenses | |
7E.1 Will there be a lead manager or broker to the proposed issue?
| No |
7E.2 Is the proposed issue to be underwritten?
| No |
7E.4 Details of any other material fees or costs to be incurred by the entity in connection with the proposed issue
| Proposed issue of securities | 4/5 |
|
Proposed issue of securities |
| Part 7F - Further Information | |
7F.01 The purpose(s) for which the entity is issuing the securities
To further research and development activities and provide on-going working capital.
7F.1 Will the entity be changing its dividend/distribution policy if the proposed issue proceeds?
| No |
7F.2 Any other information the entity wishes to provide about the proposed issue
7F.3 Any on-sale of the +securities proposed to be issued within 12 months of their date of issue will comply with the secondary sale provisions in sections 707(3) and 1012C(6) of the Corporations Act by virtue of:
| The publication of a cleansing notice under section 708A(5), 708AA(2)(f), 1012DA(5) or 1012DAA(2)(f) |
| Proposed issue of securities | 5/5 |