Alterity Therapeutics Ltd 6-K, filed Sep 20, 2024
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on September 20, 2024.
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 September 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 | Change of Director's Interest Notice x 2 |
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: September 20, 2024
2
Exhibit 99.1
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 given to 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: |
11 January 2024 |
Part 1 - Change of director’s relevant interests in 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) Note: Provide details of the circumstances giving rise to the relevant interest. |
Related entity
|
| Date of change |
31 August 2024 |
| No. of securities held prior to change | Shares | Options | |||
| Direct | 7,142,857 |
16,523,809 | |||
Indirect |
326,666 |
- | |||
Total |
7,469,523 |
16,523,809 |
|
Class |
Unlisted Options |
Number acquired |
Shares | Options | |||
| Direct | - |
- | |||
Indirect |
- |
- | |||
Total |
- |
- | |||
Number disposed |
Shares | Options | |||
| Direct | - |
7,142,857 | |||
Indirect |
- |
- | |||
Total |
- |
7,142,857 |
| + See chapter 19 for defined terms. | ||
| 11/3/2002 | Appendix 3Y Page 1 |
Appendix 3Y
Change of Director’s Interest Notice
|
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation |
n/a |
No. of securities held after change |
Shares | Options | |||
| Direct | 7,142,857 |
9,380,952 | |||
Indirect |
326,666 |
- | |||
Total |
7,469,523 |
9,380,952 |
|
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Expiry of options without exercise or conversion |
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 | N/A |
| Nature of interest | |
|
Name of registered holder (if issued securities) |
|
| Date of change | |
|
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed |
|
| Interest acquired | |
| Interest disposed | |
|
Value/Consideration Note: If consideration is non-cash, provide details and 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 given to 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. Peter Marks |
|
Date of Last Notice: |
11 January 2024 |
Part 1 - Change of director’s relevant interests in 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) Note: Provide details of the circumstances giving rise to the relevant interest. |
Related entity
|
| Date of change |
31 August 2024 |
| No. of securities held prior to change | Shares | Options | |||
| Direct | - |
7,000,000 | |||
Indirect |
7,185,986 |
9,523,809 | |||
Total |
7,185,968 |
16,523,809 |
|
Class |
Unlisted Options |
Number acquired |
Shares | Options | |||
| Direct | - |
- | |||
Indirect |
- |
- | |||
Total |
- |
- | |||
Number disposed |
Shares | Options | |||
| Direct | - |
- | |||
Indirect |
- |
7,142,857 | |||
Total |
- |
7,142,857 | |||
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation |
| + See chapter 19 for defined terms. | ||
| 11/3/2002 | Appendix 3Y Page 3 |
Appendix 3Y
Change of Director’s Interest Notice
|
Value/Consideration Note: If consideration is non-cash, provide details and estimated valuation |
n/a |
No. of securities held after change |
Shares | Options | |||
| Direct | - |
7,000,000 | |||
Indirect |
7,185,986 |
2,380,952 | |||
Total |
7,185,968 |
9,380,952 |
|
Nature of change Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Expiry of unlisted options without exercise or conversion |
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 | N/A |
| Nature of interest | |
|
Name of registered holder (if issued securities) |
|
| Date of change | |
|
No. and class of securities to which interest related prior to change Note: Details are only required for a contract in relation to which the interest has changed |
|
| Interest acquired | |
| Interest disposed | |
|
Value/Consideration Note: If consideration is non-cash, provide details and 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 4 |
01/01/2011 |