Alterity Therapeutics Ltd 6-K, filed Dec 11, 2023
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on December 11, 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 December 2023
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 | Grant of Waiver & Addendum - EGM 29 December 2023 |
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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: December 11, 2023
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Exhibit 99.1
ASX Grants Listing Rule Waiver
Addendum to the Notice of Extraordinary General Meeting - 29 December 2023
MELBOURNE, AUSTRALIA AND SAN FRANCISCO, USA – 11 December 2023: Alterity Therapeutics Limited (ASX: ATH, NASDAQ: ATHE) (“Alterity” or “the Company”), a biotechnology company dedicated to developing disease modifying treatments for neurodegenerative diseases, today announced that ASX has granted the company a waiver of Listing Rule 7.3.9 regarding a resolution on a proposed Securities Purchase Plan (SPP) to be voted on at an Extraordinary General Meeting (Meeting) to be held on Friday 29 December 2023.
Alterity is pleased to advise that ASX has granted a waiver of Listing Rule 7.3.9 to permit shareholders who are eligible to participate in the proposed SPP to vote in favour of Resolution 4 which seeks approval for the SPP. The application for the waiver was referred to in the Notice of the Meeting released to ASX on 30 November 2023 which has been distributed to shareholders. Further details are set out in the Notice of the Meeting, including on page 6 in respect of the voting exclusion statement applicable to Resolution 4.
The waiver is subject to conditions that:
| - | the SPP is not underwritten, or if it is underwritten the Company excludes any votes cast in favour of resolution 4 by any proposed underwriter or sub-underwriter of the SPP; and |
| - | the notice of meeting states that any shareholder casting votes on the resolution relating to the SPP will be excluded from participating in the SPP shortfall. |
The Company advises that the SPP currently is not underwritten. The notice of the meeting provides that if the SPP is underwritten any votes on resolution 4 by any proposed underwriter or sub-underwriter of the SPP will be excluded.
The attached addendum, which is being distributed to shareholders, updates the notice of the meeting by including that any shareholder casting votes on Resolution 4 will be excluded from participating in the SPP shortfall.
Further to the Company’s announcement of 7 December 2023, the addendum also sets out the options for participating in the meeting.
All eligible shareholders are encouraged to cast their votes by lodging a proxy form or attending the meeting in person or virtually.
About Alterity Therapeutics Limited
Alterity Therapeutics is a clinical stage biotechnology company dedicated to creating an alternate future for people living with neurodegenerative diseases. The Company’s lead asset, ATH434, has the potential to treat various Parkinsonian disorders and is currently being evaluated in two Phase 2 clinical trials in Multiple System Atrophy. Alterity also has a broad drug discovery platform generating patentable chemical compounds to treat the underlying pathology of neurological diseases. The Company is based in Melbourne, Australia, and San Francisco, California, USA. For further information please visit the Company’s website at www.alteritytherapeutics.com.
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Authorisation & Additional information
This announcement was authorized by David Stamler, CEO of Alterity Therapeutics Limited.
Investor and Media Contacts:
Australia
Hannah Howlett
we-aualteritytherapeutics@we-worldwide.com
+61 450 648 064
U.S.
Remy Bernarda
remy.bernarda@iradvisory.com
+1 (415) 203-6386
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