ATHE 6-K
Alterity Therapeutics Ltd (ATHE)
SECURITIESAND EXCHANGE COMMISSION
Washington,D.C. 20549
FORM6-K
REPORTOF FOREIGN PRIVATE ISSUER
PURSUANTTO RULE 13a-16 OR 15d-163
UNDERTHE SECURITIES EXCHANGE ACT OF 1934
Forthe month of January 2025
AlterityTherapeutics Limited
(Name of Registrant)
Level 14, 350 Collins Street,Melbourne, Victoria 3000 Australia
(Address of Principal Executive Office)
Indicateby 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 ☐
ThisForm 6-K is being incorporated by reference into our Registration Statement on Form S-8 (Files No. 333-251073, 333-248980and 333-228671) and ourRegistration Statements on Form F-3 (Files No. 333-274816, 333-251647, 333-231417and 333-250076)
ALTERITYTHERAPEUTICS LIMITED
(adevelopment stage enterprise)
The following exhibits are submitted:
| 99.1 | Change of Director’s Interest Notice x 4 |
|---|
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: January 6, 2025
2
Exhibit 99.1
Appendix 3Y
Change of Director’s InterestNotice
Rule 3.19A.2
Appendix 3Y
Change of Director’s Interest Notice
Information or documents not available now must be givento ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001.. Amended 01/01/11
| Name of Entity: | Alterity Therapeutics Limited (ASX:ATH) |
|---|---|
| ABN: | 37 080 699 065 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director: | Mr. Brian Meltzer |
|---|---|
| Date of Last Notice: | 20 September 2024 |
Part 1 - Change of director’s relevant interestsin securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Direct or indirect interest | Direct and indirect | |||
|---|---|---|---|---|
| Nature of indirect interest (including registered holder)<br><br> <br>Note: Provide details of the circumstances giving rise<br> to the relevant interest. | - | |||
| Date of change | 30 December 2024 | |||
| No. of securities held prior to change | Shares | Options | ||
| Direct | 7,142,857 | 9,380,952 | ||
| Indirect | 326,666 | - | ||
| Total | 7,469,523 | 9,380,952 | ||
| Class | Unlisted Options | |||
| Number acquired | ||||
| Shares | Options | |||
| Direct | - | 30,000,000 | ||
| Indirect | - | - | ||
| Total | - | 30,000,000 | ||
| Number disposed | ||||
| Shares | Options | |||
| Direct | - | - | ||
| Indirect | - | - | ||
| Total | - | - | ||
| + See chapter 19 for defined terms. | ||||
| --- | --- | |||
| 11/3/2002 | Appendix 3Y Page 1 |
Appendix 3Y
Change of Director’s Interest Notice
| Value/Consideration<br><br> <br>Note: If consideration is non-cash, provide details and<br> estimated valuation | n/a | |||
|---|---|---|---|---|
| No. of securities held after change | ||||
| Shares | Options | |||
| Direct | 7,142,857 | 39,380,952 | ||
| Indirect | 326,666 | - | ||
| Total | 7,469,523 | 39,380,952 | ||
| Nature of change<br><br> <br>Example: on-market trade, off-market<br> trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back | Incentive options under ESOP |
Part 2 – Change of director’s interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Detail of contract<br><br> <br>**** |
|---|
| Nature of interest |
| Name of registered holder<br><br> <br>(if issued securities) |
| Date of change |
| No. and class of securities to which interest related prior to change<br><br> <br>Note: Details are only required<br> for a contract in relation to which the interest has changed |
| Interest acquired |
| Interest disposed |
| Value/Consideration<br><br> <br>Note: If consideration is non-cash, provide details and<br> an estimated valuation |
| Interest after change |
Part 3 - +Closed Period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
|---|---|
| If so, was prior written clearance provided to allow the trade to proceed during this period? | N/A |
| If prior written clearance was provided on what date was this provided? | N/A |
| + See chapter 19 for defined terms. | |
| --- | --- |
| Appendix 3Y Page 2 | 01/01/2011 |
Confidential
Appendix 3Y
Change of Director’s Interest Notice
Rule 3.19A.2
Appendix 3Y
Change of Director’s Interest Notice
Information or documents not available now must be givento ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001. Amended 01/01/11
| Name of Entity: | Alterity Thesrapeutics Limited (ASX:ATH) |
|---|---|
| ABN: | 37 080 699 065 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director: | Mr. Peter Marks |
|---|---|
| Date of Last Notice: | 20 September 2024 |
Part 1 - Change of director’s relevant interestsin securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Direct or indirect interest | Direct and indirect | |||
|---|---|---|---|---|
| Nature of indirect interest (including registered holder)<br><br> <br>Note: Provide details of the circumstances giving rise<br> to the relevant interest. | - | |||
| Date of change | 30 December 2024 | |||
| No. of securities held prior to change | ||||
| Shares | Options | |||
| Direct | - | 7,000,000 | ||
| Indirect | 7,185,968 | 2,380,952 | ||
| Total | 7,185,968 | 9,380,952 | ||
| Class | Unlisted Options | |||
| Number acquired | ||||
| Shares | Options | |||
| Direct | - | 30,000,000 | ||
| Indirect | - | - | ||
| Total | - | 30,000,000 | ||
| Number disposed | ||||
| Shares | Options | |||
| Direct | - | - | ||
| Indirect | - | - | ||
| Total | - | - | ||
| Value/Consideration<br><br> <br>Note: If consideration is non-cash, provide details and<br> estimated valuation | n/a | |||
| + See chapter 19 for defined terms. | ||||
| --- | --- | |||
| 01/01/2011 | Appendix 3Y Page 1 |
Confidential
Appendix 3Y
Change of Director’s Interest Notice
| No. of securities held after change | ||||
|---|---|---|---|---|
| Shares | Options | |||
| Direct | - | 37,000,000 | ||
| Indirect | 7,185,968 | 2,380,952 | ||
| Total | 7,185,968 | 39,380,952 | ||
| Nature of change<br><br> <br>Example: on-market trade, off-market<br> trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back | Incentive options under ESOP |
Part 2 – Change of director’s interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Detail of contract |
|---|
| Nature of interest |
| Name of registered holder<br><br> <br>(if issued securities) |
| Date of change |
| No. and class of securities to which interest related prior to change<br><br> <br>Note: Details are only required<br> for a contract in relation to which the interest has changed |
| Interest acquired |
| Interest disposed |
| Value/Consideration<br><br> <br>Note: If consideration is non-cash, provide details and<br> an estimated valuation |
| Interest after change |
Part 3 - +Closed Period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
|---|---|
| If so, was prior written clearance provided to allow the trade to proceed during this period? | N/A |
| If prior written clearance was provided on what date was this provided? | N/A |
| + See chapter 19 for defined terms. | |
| --- | --- |
| Appendix 3Y Page 2 | 01/01/2011 |
Confidential
Appendix 3Y
Change of Director’s Interest Notice
Rule 3.19A.2
Appendix 3Y
Change of Director’s Interest Notice
Information or documents not available now must be givento ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001. Amended 01/01/11
| Name of Entity: | Alterity Therapeutics Limited (ASX:ATH) |
|---|---|
| ABM: | 37 080 699 065 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director: | Mr. Lawrence Gozlan |
|---|---|
| Date of Last Notice: | 15 December 2022 |
Part 1 - Change of director’s relevant interestsin securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Direct or indirect interest | Direct | |||
|---|---|---|---|---|
| Nature of indirect interest (including registered holder)<br><br> <br>Note: Provide details of the circumstances giving rise<br> to the relevant interest. | - | |||
| Date of change | 30 December 2024 | |||
| No. of securities held prior to change | ||||
| Shares | Options | |||
| Direct | - | 7,000,000 | ||
| Indirect | - | - | ||
| Total | - | 7,000,000 | ||
| Class | Unlisted Options | |||
| Number acquired | ||||
| Shares | Options | |||
| Direct | - | 50,000,000 | ||
| Indirect | - | - | ||
| Total | - | 50,000,000 | ||
| Number disposed | ||||
| Shares | Options | |||
| Direct | - | - | ||
| Indirect | - | - | ||
| Total | - | - | ||
| + See chapter 19 for defined terms. | ||||
| --- | --- | |||
| 01/01/2011 | Appendix 3Y Page 1 |
Confidential
Appendix 3Y
Change of Director’s Interest Notice
| Value/Consideration<br><br> <br>Note: If consideration is non-cash, provide details and<br> estimated valuation | n/a | |||
|---|---|---|---|---|
| No. of securities held after change | ||||
| Shares | Options | |||
| Direct | - | 57,000,000 | ||
| Indirect | - | - | ||
| Total | - | 57,000,000 | ||
| Nature of change<br><br> <br>Example: on-market trade, off-market<br> trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back | Incentive options under ESOP |
Part 2 – Change of director’s interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Detail of contract |
|---|
| Nature of interest |
| Name of registered holder<br><br> <br>(if issued securities) |
| Date of change |
| No. and class of securities to which interest related prior to change<br><br> <br>Note: Details are only required for a contract in relation<br> to which the interest has changed |
| Interest acquired |
| Interest disposed |
| Value/Consideration<br><br> <br>Note: If consideration is non-cash, provide details and<br> an estimated valuation |
| Interest after change |
Part 3 - +Closed Period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
|---|---|
| If so, was prior written clearance provided to allow the trade to proceed during this period? | N/A |
| If prior written clearance was provided on what date was this provided? | N/A |
| + See chapter 19 for defined terms. | |
| --- | --- |
| Appendix 3Y Page 2 | 01/01/2011 |
Appendix 3Y
Change of Director’s Interest Notice
Rule 3.19A.2
Appendix 3Y
Change of Director’s Interest Notice
Information or documents not available now must be givento ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.
Introduced 30/9/2001.. Amended 01/01/11
| Name of Entity: | Alterity Therapeutics Limited (ASX:ATH) |
|---|---|
| ABN: | 37 080 699 065 |
We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.
| Name of Director: | Mr. Geoffrey Kempler |
|---|---|
| Date of Last Notice: | 15 December 2022 |
Part 1 - Change of director’s relevant interestsin securities
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Direct or indirect interest | Direct | |||
|---|---|---|---|---|
| Nature of indirect interest (including registered holder)<br><br> <br>Note: Provide details of the circumstances giving rise<br> to the relevant interest. | Director related entity | |||
| Date of change | 30 December 2024 | |||
| No. of securities held prior to change | ||||
| Shares | Options | |||
| Direct | 30,000 | 14,000,000 | ||
| Indirect | 17,981,000 | - | ||
| Total | 18,011,000 | 14,000,000 | ||
| Class | Unlisted Options | |||
| Number acquired | ||||
| Shares | Options | |||
| Direct | - | 60,000,000 | ||
| Indirect | - | - | ||
| Total | - | - | ||
| Number disposed | ||||
| Shares | Options | |||
| Direct | - | - | ||
| Indirect | - | - | ||
| Total | - | - | ||
| Value/Consideration<br><br> <br>Note: If consideration is non-cash, provide details and<br> estimated valuation | n/a | |||
| + See chapter 19 for defined terms. | ||||
| --- | --- | |||
| 11/3/2002 | Appendix 3Y Page 1 |
Appendix 3Y
Change of Director’s Interest Notice
| No. of securities held after change | ||||
|---|---|---|---|---|
| Shares | Options | |||
| Direct | 30,000 | 74,000,000 | ||
| Indirect | 17,981,000 | - | ||
| Total | 18,011,000 | 74,000,000 | ||
| Nature of change<br><br> <br>Example: on-market trade, off-market trade, exercise of options,<br>issue of securities under dividend reinvestment plan, participation in buy-back | Incentive options under ESOP |
Part 2 – Change of director’s interests in contracts
Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.
| Detail of contract |
|---|
| Nature of interest |
| Name of registered holder<br><br> <br>(if issued securities) |
| Date of change |
| No. and class of securities to which interest related prior to change<br><br> <br>Note: Details are only required<br> for a contract in relation to which the interest has changed |
| Interest acquired |
| Interest disposed |
| Value/Consideration<br><br> <br>Note: If consideration is non-cash, provide details and<br> an estimated valuation |
| Interest after change |
Part 3 - +Closed Period
| Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? | No |
|---|---|
| If so, was prior written clearance provided to allow the trade to proceed during this period? | N/A |
| If prior written clearance was provided on what date was this provided? | N/A |
| + See chapter 19 for defined terms. | |
| --- | --- |
| Appendix 3Y Page 2 | 01/01/2011 |