Kazia Therapeutics Ltd 6-K, filed Sep 8, 2022
Kazia Therapeutics Ltd (KZIA)
About this 6-K
Kazia Therapeutics Ltd filed this 6-K on September 8, 2022.
UNITED STATES
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 September, 2022
Commission File Number 000-29962
Kazia Therapeutics Limited
(Translation of registrant’s name into English)
Three International Towers Level 24 300 Barangaroo Avenue Sydney NSW 2000
(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): ☐
INFORMATION CONTAINED IN THIS FORM 6-K REPORT
On September 8, 2022, Kazia Therapeutics Limited (the “Company”) issued an ASX announcement regarding certain changes to the Company’s directors’ ownership interest in the Company. A copy of the document detailing this information is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
EXHIBIT LIST
| Exhibit |
Description | |
| 99.1 | Appendix 3Y: Change of Director’s Interest Notice | |
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.
| Kazia Therapeutics Limited (Registrant)
|
| /s/ Karen Krumeich |
| Karen Krumeich |
| Chief Financial Officer |
Date: 8 September 2022
Exhibit 99.1
Appendix3Y
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 30/09/01 Amended 01/01/11
| IName of entity Kazia Therapeutics Limited (“Kazia”) |
| rsN 37 063 259 754 |
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 lain Ross | |
| Date of last notice | 21 December 2021 | |
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 | |
| Nature of indirect interest (including registered holder)
Note: Provide details of the circumstances giving rise to the relevant interest. |
||
| Date of change
|
6 September 2022 | |
| No. of securities held prior to change | 1,075,001 ordinary shares
400,000 unlisted options
| |
| Class | Ordinary shares | |
| Number acquired | 175,000 | |
| Number disposed | N/A | |
+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix3Y
Change of Director’s Interest Notice
| Value/Consideration
Note: If consideration is non-cash, provide details and estimated valuation |
175,000 ordinary shares at $0.2207 per share | |
| No. of securities held after change | 1,250,001 ordinary shares
400,000 unlisted options | |
| Nature of change
Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Purchased on market | |
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 (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 |
||
+ See chapter 19 for defined terms.
| Appendix 3Y Page 2 |
01/01/2011 |
Appendix3Y
Change of Director’s Interest Notice
| 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? |
||
+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 3
Appendix3Y
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 30/09/01 Amended 01/01/11
| IName of entity Kazia Therapeutics Limited (“Kazia”) |
| rsN 37 063 259 754 |
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 | Steven Coffey | |
| Date of last notice | 21 December 2021 | |
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 | Indirect | |
| Nature of indirect interest (including registered holder)
Note: Provide details of the circumstances giving rise to the relevant interest. |
Fortune 501 Pty Limited (SR Coffey Superfund) Steven Coffey Coffey Family Investments Pty Limited | |
| Date of change | 6 & 7 September 2022 | |
| No. of securities held prior to change | 426,250 ordinary shares (indirect)
8,015 ordinary shares (direct) 400,000 unlisted options (direct)
50,000 ordinary shares | |
| Class | Ordinary shares | |
| Number acquired | 50,000 ordinary shares (indirect) | |
| Number disposed | ||
+ See chapter 19 for defined terms.
01/01/20n Appendix 3Y Page 1
Appendix3Y
Change of Director’s Interest Notice
| Value/Consideration
Note: If consideration is non-cash, provide details and estimated valuation
|
73,372 ordinary shares at $0.2097 per share 26,628 ordinary shares at $0.235 per share | |
| No. of securities held after change | 426,250 ordinary shares (indirect)
8,015 ordinary shares (direct) 400,000 unlisted options (direct)
100,000 ordinary shares (indirect)
| |
| Nature of change
Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Purchased on market |
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 (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 |
||
+ See chapter 19 for defined terms.
| Appendix 3Y Page 2 | 01/01/2011 |
Appendix3Y
Change of Director’s Interest Notice
| 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? |
||
+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 3
Appendix3Y
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 30/09/01 Amended 01/01/11
| IName of entity Kazia Therapeutics Limited (“Kazia”) |
| rsN 37 063 259 754 |
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 | Dr James Garner | |
| Date of last notice | 21 December 2021 | |
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 | |
| Nature of indirect interest (including registered holder) Note: Provide details of the circumstances giving rise to the relevant interest. |
||
| Date of change | 6 & 7 September 2022 | |
| No. of securities held prior to change | 500,000 ordinary shares
4,500,000 unlisted options | |
| Class | Ordinary shares | |
| Number acquired | 100,000 ordinary shares | |
| Number disposed | N/A | |
+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 1
Appendix3Y
Change of Director’s Interest Notice
| Value/Consideration
Note: If consideration is non-cash, provide details and estimated valuation |
50,000 ordinary shares at an average price of $0.2250
50,000 ordinary shares at an average price of $0.2377 | |
| No. of securities held after change | 600,000 ordinary shares
4,500,000 unlisted options | |
| Nature of change
Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Purchased on market | |
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 (if issued securities) |
||
| Date of change | ||
+ See chapter 19 for defined terms.
| Appendix 3Y Page 2 |
01/01/2011 |
Appendix3Y
Change of Director’s Interest Notice
| 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? | ||
+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 3
Appendix3Y
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 30/09/01 Amended 01/01/11
| IName of entity Kazia Therapeutics Limited (“Kazia”) |
| rsN 37 063 259 754 |
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 Bryce Carmine | |
| Date of last notice | 21 December 2021 | |
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 | |
| Nature of indirect interest (including registered holder)
Note: Provide details of the circumstances giving rise to the relevant interest. |
||
| Date of change | 6 September 2022 | |
| No. of securities held prior to change | 419,861 ordinary shares
400,000 unlisted options | |
| Class | Ordinary shares | |
| Number acquired | 120,000 Ordinary shares | |
| Number disposed | N/A | |
+ See chapter 19 for defined terms.
01/01/20n Appendix 3Y Page 1
Appendix3Y
Change of Director’s Interest Notice
| Value/Consideration
Note: If consideration is non-cash, provide details and estimated valuation |
120,000 ordinary shares at $0.235 | |
| No. of securities held after change | 539,861 ordinary shares
400,000 unlisted options | |
| Nature of change
Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back |
Purchased on market | |
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 (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 |
||
+ See chapter 19 for defined terms.
| Appendix 3Y Page 2 |
01/01/2011 |
Appendix3Y
Change of Director’s Interest Notice
| 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? |
||
+ See chapter 19 for defined terms.
01/01/2011 Appendix 3Y Page 3