0001213900-22-079890.txt : 20221215 0001213900-22-079890.hdr.sgml : 20221215 20221215061035 ACCESSION NUMBER: 0001213900-22-079890 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20221215 FILED AS OF DATE: 20221215 DATE AS OF CHANGE: 20221215 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALTERITY THERAPEUTICS LTD CENTRAL INDEX KEY: 0001131343 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: C3 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-49843 FILM NUMBER: 221463595 BUSINESS ADDRESS: STREET 1: LEVEL 3, 460 BOURKE STREET CITY: MELBOURNE STATE: C3 ZIP: VIC 3000 BUSINESS PHONE: 61 3 9349 4906 MAIL ADDRESS: STREET 1: LEVEL 3, 460 BOURKE STREET CITY: MELBOURNE STATE: C3 ZIP: VIC 3000 FORMER COMPANY: FORMER CONFORMED NAME: PRANA BIOTECHNOLOGY LTD DATE OF NAME CHANGE: 20010105 6-K 1 ea170245-6k_alterity.htm REPORT OF FOREIGN PRIVATE ISSUER
 

 

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 December 2022

 

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. 333-251073, 333-248980 and 333-228671) and our Registration Statements on Form F-3 (Files No. 333-251647, 333-249311, 333-231417 and 333-250076)

 

 

 

 

 

 

ALTERITY THERAPEUTICS LIMITED

(a development stage enterprise)

 

The following exhibits are submitted:

 

99.1  

Notification of cessation of 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
   
  /s/ Geoffrey P. Kempler
  By:

Geoffrey P. Kempler

    Chairman

 

Date: December 15, 2022

 

 

2

 

EX-99.1 2 ea170245ex99-1_alterity.htm NOTIFICATION OF CESSATION OF SECURITIES - ATH

Exhibit 99.1

 

Notification of cessation of +securities

 

Announcement Summary

 

 

 

Entity name

ALTERITY THERAPEUTICS LIMITED

 

Announcement Type

New announcement

 

Date of this announcement

Thursday December 15, 2022

 

Details of +securities that have ceased

 

ASX +security code

 

Security description

 

Number of +securities that have ceased

 

The +securities have ceased due to

 

Date of cessation

ATHAAA  

OPTION EXPIRING 14-DEC-2022 EX 11C

 

12,450,000

 

Expiry of option or other convertible security without exercise or conversion

 

14/12/2022

 

Refer to next page for full details of the announcement

 

Notification of cessation of +securities

1 / 4

 

 

Notification of cessation of +securities

 

Part 1 - Announcement Details

 

 

 

1.1Name of +Entity

 

ALTERITY THERAPEUTICS LIMITED

 

We (the entity named above) provide the following information about our issued capital.

 

1.2 Registered Number Type Registration Number
   
ABN 37080699065

 

1.3ASX issuer code

 

ATH

 

1.4The announcement is

 

þ New announcement

 

1.5Date of this announcement

 

15/12/2022

 

Notification of cessation of +securities

2 / 4

 

 

Notification of cessation of +securities

 

Part 2 - Details of +equity securities or +debt securities that have ceased

 

 

 

ASX +Security Code and Description

 

ATHAAA : OPTION EXPIRING 14-DEC-2022 EX 11C

 

Unquoted +equity securities that have ceased Number of securities that have ceased

 

12,450,000

 

Reason for cessation

 

Expiry of option or other convertible security without exercise or conversion

 

Date of cessation Is the entity paying any consideration for the cessation?
   
14/12/2022 þ No 

 

  Any other information the entity wishes to notify to ASX about the cessation?
   

 

Notification of cessation of +securities

3 / 4

 

 

Notification of cessation of +securities

 

Part 3 - Issued capital following changes

 

 

 

Following the cessation of the +securities the subject of this notification, the issued capital of the entity will comprise:

 

3.1Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX)

 

ASX +security code and description  

Total number of
+securities on
issue

    
ATH : ORDINARY FULLY PAID  2,416,418,418

 

3.2Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX)

 

ASX +security code and description  

Total number of
+securities on
issue

    
ATHAI : OPTION EXPIRING 31-JAN-2023 EX $0.083   700,000
     
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   13,900,000
     
ATHAAB : OPTION EXPIRING 17-SEP-2025 EX $0.09   35,000,000
     
ATHAAA : OPTION EXPIRING 14-DEC-2022 EX 11C   0
     
ATHAAC : OPTION EXPIRING 23-NOV-2023 EX $0.07   674,694,939
     
ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032   91,392,720

 

Note: the figures stated in the tables above are used to calculate the total market capitalisation of the entity published by ASX from time to time. The table will not include those classes of +securities that have ceased or lapsed in their entirety in ASX records before the announcement date described in Q1.5, even if the entity has advised ASX of a change to that class of +security in Part 2 of this form.

 

 

Notification of cessation of +securities

4 / 4

 

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