Form 6-K - Report of foreign issuer [Rules 13a-16 and 15d-16]
21 Dicembre 2023 - 2:02PM
Edgar (US Regulatory)
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 2023
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:
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.
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Alterity Therapeutics Limited |
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By: |
/s/ Geoffrey P. Kempler |
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Geoffrey P. Kempler |
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Chairman |
Date:
December 21, 2023
2
Exhibit 99.1
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Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities |
Entity name
ALTERITY THERAPEUTICS LIMITED
Date
of this announcement
Thursday December 21, 2023
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 +security code | |
Security description | |
Total number of +securities to be issued/transferred | | |
Issue date |
New class - code to be confirmed | |
Options issued under employee incentive scheme | |
| 8,000,00 | | |
21/12/2023 |
Refer to next page for full details of the announcement
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 1/6 | |
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Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities |
Part
1 - Entity and announcement details |
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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 |
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Registration number |
ABN |
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37080699065 |
1.3 ASX issuer code
ATH
1.4 The announcement is
New
announcement
1.5 Date of this announcement
21/12/2023
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 2/6 | |
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Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities |
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
2.2 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”)
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 3/6 | |
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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 |
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ASX +security code |
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+Security description |
New class - code to be confirmed |
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Options issued under employee incentive scheme |
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+Security type
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ISIN code
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Options
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Date the +securities the subject of this notification
were issued
21/12/2023
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?
No
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.
+Security currency |
Exercise price |
Expiry date |
AUD - Australian Dollar |
AUD 0.01050000 |
19/12/2026 |
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 |
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://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02581610-3A604443 |
Any other
information the entity wishes to provide about the +securities the subject of this notification
Number of +securities
8,000,000
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 4/6 | |
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Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities |
Part 4 - +Securities on issue
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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 | |
ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 | |
| 91,392,720 | |
New class - code to be confirmed : Options issued under employee incentive scheme | |
| 8,000,000 | |
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 5/6 | |
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Notification of Issue, Conversion or Payment up of Unquoted
Equity Securities |
Part 5 - Other Listing Rule requirements
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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
13
Notification of Issue, Conversion or Payment up of Unquoted Equity Securities | 6/6 | |
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