ATHE 6-K
Alterity Therapeutics Ltd (ATHE)
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 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 | Notification regarding unquoted securities |
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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 | |
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| By: | /s/ Geoffrey P. Kempler |
| Geoffrey P. Kempler | |
| Chairman |
Date: December 31, 2024
2
Exhibit 99.1
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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities |
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Announcement Summary
Entity name
ALTERITY THERAPEUTICS LIMITED
Date of this announcement
Monday December 30, 2024
The +securities the subject of this notification are:
+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX
Total number of +securities to be issued/transferred
| ASX<br>+security<br><br>code | Security description | Total<br>number of<br><br>+securities to be<br><br>issued/transferred | Issue date | |
|---|---|---|---|---|
| New class - code to be confirmed | UNLISTED OPTIONS EXPIRING 30-DEC-2027 EX $0.01 | 170,000,000 | 30/12/2024 |
Refer to next page for full details of the announcement
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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities |
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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 | |
|---|---|---|
| ABN | 37080699065 |
1.3 ASX issuer code
ATH
1.4 The announcement is
New announcement
1.5 Date of this announcement
30/12/2024
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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities |
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Part 2 - Issue details
2.1 The +securities the subject of this notification are:
+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX
2.2a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:
does not have an existing ASX security code ("new class")
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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities |
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Part 3C - number and type of +securities the subject of this notification (new class)
| ASX +security code | +Security description |
|---|---|
| New class - code to be confirmed | UNLISTED OPTIONS EXPIRING 30-DEC-2027 EX $0.01 |
| +Security type | ISIN code |
| Options |
Date the +securities the subject of this notification were issued
30/12/2024
Will all the +securities issued in this class rank equally in all respects from their issue date?
Yes
Were any of the +securities issued to +key management personnel (KMP) or an +associate?
Yes
Provide details of the KMP or +associates being issued +securities.
| Name of KMP | Name of registered holder | Number of +securities |
|---|---|---|
| LAWRENCE GOZLAN | LAWRENCE GOZLAN | 50,000,000 |
| GEOFFREY KEMPLER | GEOFFREY KEMPLER | 60,000,000 |
| PETER MARKS | PETER MARKS | 30,000,000 |
| BRIAN MELTZER | BRIAN MELTZER | 30,000,000 |
Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?
No
Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.
Options Details
| +Security currency | Exercise price | Expiry date |
|---|---|---|
| AUD - Australian Dollar | AUD 0.01000000 | 30/12/2027 |
Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option
ATH : ORDINARY FULLY PAID
Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms
| https://app.sharelinktechnologies.com/announcement/asx/7cdc0075ea809585dca4cb33e0963c5c | |
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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities |
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Any other information the entity wishes to provide about the +securities the subject of this notification
Issue details
Number of +securities
170,000,000
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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities |
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Part 4 - +Securities on issue
Following the issue, conversion or payment up of the +securities the subject of this notification, the +securities of the entity will comprise:
The figures in parts 4.1 and 4.2 below are automatically generated and may not reflect the entity's current issued capital if other Appendix 2A, Appendix 3G or Appendix 3H forms are currently with ASX for processing.
4.1 Quoted +securities (Total number of each +class of +securities issued and quoted on ASX)
| ASX +security code and description | Total number of +securities on issue | |||
|---|---|---|---|---|
| ATH : ORDINARY FULLY PAID | 5,320,336,118 | |||
| ATHO : OPTION EXPIRING 31-AUG-2026 | 932,706,668 |
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<br><br>+securities on issue | |
|---|---|---|
| ATHAAE : OPTION EXPIRING 29-NOV-2026 EX $0.0375 | 14,250,000 | |
| 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 | |
| ATHAB : OPTION EXPIRING 13-MAR-2029 EX US$0.0031 | 62,500,000 | |
| ATHAA : OPTION EXPIRING 13-MAR-2029 EX $0.004 | 26,500,000 | |
| ATHAC : OPTION EXPIRING 21-MAR-2029 EX US$0.003 | 120,000,000 | |
| ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 | 91,392,720 | |
| New class - code to be confirmed : UNLISTED OPTIONS EXPIRING 30-DEC-2027 EX $0.01 | 170,000,000 | |
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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities | |
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Part 5 - Other Listing Rule requirements
5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1?
No
5.2 Has the entity obtained, or is it obtaining, +security holder approval for the issue under listing rule 7.1?
Yes
5.2a Date of meeting or proposed meeting to approve the issue under listing rule 7.1
22/11/2024
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