Alterity Therapeutics Ltd 6-K, filed Oct 13, 2020
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on October 13, 2020.
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 October 2020
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. 333-248980 and 333-228671) and our Registration Statements on Form F-3 (Files No. 333-249311 and 333-231417).
Alterity Therapeutics Limited
| 6-K | Items | |
| 99.1 | Trading Halt | |
1
SIGNATURES
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 | ||
| (Registrant) | ||
| By: | /s/ Geoffrey Kempler | |
| Geoffrey Kempler, | ||
| Executive Chairman | ||
October 12, 2020
2
Exhibit 99.1
Market Announcement
12 October 2020
Alterity Therapeutics Limited (ASX: ATH) – Trading Halt (2+2)
Description
The securities of Alterity Therapeutics Limited (‘ATH’) will be placed in trading halt at the request of ATH, pending it releasing an announcement regarding a capital raising. Unless ASX decides otherwise, the securities will remain in trading halt until the earlier of the commencement of normal trading on Friday, 16 October 2020 or when the announcement is released to the market.
Issued by
Melissa Kostopoulos
Compliance Adviser, Listings Compliance (Melbourne)
| 12 October 2020 | Market Announcement 1/1 |
| ASX Limited | ASX Customer Service Centre 131 279 | asx.com.au |
Monday 12 October 2020
Ms. Melissa Kostopoulos
Adviser, Listings Compliance (Melbourne)
ASX Compliance Pty Limited
Level 4, North Tower
Rialto Towers, 525 Collins Street
MELBOURNE VIC 3000
| By email only: | melissa.kostopoulos@asx.com.au |
| tradinghaltsmelbourne@asx.com.au |
Dear Madam
ALTERITY THERAPEUTICS LIMITED (ASX:ATH; NASDAQ:ATHE) - REQUEST FOR TRADING HALT
Alterity Therapeutics Limited (the Company) requests that the securities of the Company be placed in two consecutive trading halts of up to four trading days with immediate effect.
For the purposes of ASX Listing Rule 17.1 and in support of its request, the Company provides the following information:
| 1. | The two consecutive trading halts are requested for the purposes of considering, planning and executing a potential capital raising. |
| 2. | The Company requests that the consecutive trading halts remain in place until the earlier of the Company releasing an announcement regarding the capital raising or prior to the commencement of trading on Friday, 16 October 2020. |
| 3. | The Company is not aware of any reason why the request for the two consecutive trading halts should not be granted or of any other information necessary to inform the market about the consecutive trading halts. |
Please contact me if you require any further information concerning this matter.
Yours sincerely,
| ALTERITY THERAPEUTICS LIMITED | |
 |
|
| Phillip Hains | |
| Company Secretary |
|
Level 3, 62 Lygon Street Carlton South, Victoria AUSTRALIA 3053 |
www.alteritytherapeutics.com
ABN: 37 080 699 065 |
Phone: + 61 (0)3 9824 5254 Facsimile: + 61 (0)3 9822 7735 |