Alterity Therapeutics Ltd 6-K, filed Jan 8, 2024
Alterity Therapeutics Ltd (ATHE)
About this 6-K
Alterity Therapeutics Ltd filed this 6-K on January 8, 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 January 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 - ATH |
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 8, 2024
2
Exhibit 99.1
 |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Announcement Summary |
|
Entity name
ALTERITY THERAPEUTICS LIMITED
Date of this announcement
Monday January 08, 2024
The +securities the subject of this notification are:
Other
Total number of +securities to be issued/transferred
| ASX +security code | Security description | Total number of +securities to be issued/transferred | Issue date | |||||
| New class - code to be confirmed | OPTION EXPIRING 31-AUG-2024 EX $0.007 | 1,371,428,567 | 08/01/2024 | |||||
| New class - code to be confirmed | OPTION EXPIRING 31-AUG-2026 EX $0.01 | 457,142,830 | 08/01/2024 | |||||
Refer to next page for full details of the announcement
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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
| 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
8/1/2024
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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
| Part 2 - Issue details | |
2.1 The +securities the subject of this notification are:
Other
Please specify
| Options issued under Placement per Appendix 3B issued 22 Nov 2023 |
2.2 a 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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|
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
| Part 3C - number and type of +securities the subject of this notification (new class) where issue has not previously been notified to ASX in an Appendix 3B | |
New +securities
| ASX +security code | +Security description | |
| New class - code to be confirmed | OPTION EXPIRING 31-AUG-2024 EX $0.007 | |
+Security type |
ISIN code | |
Options |
Date the +securities the subject of this notification were issued
8/1/2024
Will all the +securities issued in this class rank equally in all respects from their issue date?
Yes
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 Prospectus lodged 29 Dec 2023 https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02758927-3A634120 |
| Options Details | |
| +Security currency | Exercise price | Expiry date |
| AUD - Australian Dollar | AUD 0.00700000 | 31/8/2024 |
Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option
Other
Description
| One ATH fully paid ordinary share |
Any other information the entity wishes to provide about the +securities the subject of this notification
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|
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Please provide any further information needed to understand the circumstances in which you are notifying the issue of these +securities to ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B
| Short-dated options issued under Placement per Appendix 3B issued 22 Nov 2023 |
Issue details
Number of +securities
1,371,428,567
Were the +securities issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
| One (1) free attaching short-dated option issued for each Placement share issued per Placement announcement 22 Nov 2023 and Prospectus dated 29 December 2023 |
Purpose of the issue
To raise additional working capital
New +securities
| ASX +security code | +Security description | |
| New class - code to be confirmed | OPTION EXPIRING 31-AUG-2026 EX $0.01 |
| +Security type | ISIN code |
Options
Date the +securities the subject of this notification were issued
8/1/2024
Will all the +securities issued in this class rank equally in all respects from their issue date?
Yes
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
Prospectus lodged 29 Dec 2023 https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02758927-3A634120 |
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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Options Details
| +Security currency | Exercise price | Expiry date |
| AUD - Australian Dollar | AUD 0.01000000 | 31/8/2026 |
Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option
Other
Description
| ATH : ORDINARY FULLY PAID |
Any other information the entity wishes to provide about the +securities the subject of this notification
Please provide any further information needed to understand the circumstances in which you are notifying the issue of these +securities to ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B
| Long dated options issued under Placement per Appendix 3B issued 22 Nov 2023 |
Issue details
Number of +securities
457,142,830
Were the +securities issued for a cash consideration?
No
Please describe the consideration being provided for the +securities
| One (1) free attaching long-dated option issued for each three (3) Placement shares issued per Placement announcement 22 Nov 2023 and Prospectus dated 29 December 2023 |
Purpose of the issue
To raise additional working capital
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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
Part 4 - +Securities on issue |
|
Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise:
(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)
4.1 Quoted +Securities (Total number of each +class of +securities quoted)
| ASX +security code and description | Total number of +securities on issue | |||
| ATH : ORDINARY FULLY PAID | 2,802,360,380 | |||
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 +securities on issue | |||
| ATHAAE : OPTION EXPIRING 29-NOV-2026 EX $0.0375 | 19,250,000 | |||
| ATHAAF : OPTION EXPIRING 31-JUL-2024 EX $0.07 | 12,000,000 | |||
| 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 | |||
| ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 | 91,392,720 | |||
| New class - code to be confirmed : OPTION EXPIRING 31-AUG-2024 EX $0.007 | 1,371,428,567 | |||
| New class - code to be confirmed : OPTION EXPIRING 31-AUG-2026 EX $0.01 | 457,142,830 | |||
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Notification of Issue, Conversion or Payment up of Unquoted Equity Securities |
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?
Yes
5.1 a Select the number of the applicable exception in Listing Rule 7.2
17
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