0000899243-16-011713.txt : 20160114
0000899243-16-011713.hdr.sgml : 20160114
20160114175551
ACCESSION NUMBER: 0000899243-16-011713
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151218
FILED AS OF DATE: 20160114
DATE AS OF CHANGE: 20160114
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: UNIVERSAL BIOSENSORS INC
CENTRAL INDEX KEY: 0001279695
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 980424072
STATE OF INCORPORATION: DE
BUSINESS ADDRESS:
STREET 1: 1 CORPORATE AVENUE
STREET 2: ROWVILLE
CITY: VICTORIA
STATE: C3
ZIP: 3178
BUSINESS PHONE: 613-9213-9000
MAIL ADDRESS:
STREET 1: 1 CORPORATE AVENUE
STREET 2: ROWVILLE
CITY: VICTORIA
STATE: C3
ZIP: 3178
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hodges Alastair
CENTRAL INDEX KEY: 0001397489
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-52607
FILM NUMBER: 161343726
MAIL ADDRESS:
STREET 1: 103 RICKETTS ROAD
STREET 2: MT. WAVERLEY
CITY: VICTORIA
STATE: C3
ZIP: 3149
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-12-18
0
0001279695
UNIVERSAL BIOSENSORS INC
UBI
0001397489
Hodges Alastair
1 CORPORATE AVENUE
ROWVILLE
VICTORIA
C3
3178
AUSTRALIA
0
1
0
0
Chief Scientist
Common stock
2015-12-18
4
D
0
30000
0.46
D
2804837
D
Common Stock
2015-12-31
4
M
0
36248
0.26
A
2841085
D
Stock Option (Right to Buy)
0.00
2022-01-29
Common Stock
40000
40000
D
Stock Option (Right to Buy)
0.00
2020-12-11
Common Stock
40000
40000
D
Stock Option (Right to Buy)
0.00
2019-11-12
Common Stock
25000
25000
D
Stock Option (Right to Buy)
0.00
2018-11-17
Common Stock
25000
25000
D
Stock Option (Right to Buy)
0.00
2017-11-10
Common Stock
25000
25000
D
Stock Option (Right to Buy)
1.72
2019-11-09
Common Stock
100000
100000
D
Stock Option (Right to Buy)
0.00
2019-06-28
Common Stock
105000
105000
D
Stock Option (Right to Buy)
0.00
2019-05-14
Common Stock
16667
16667
D
Stock Option (Right to Buy)
0.89
2018-03-16
Common Stock
100000
100000
D
Stock Option (Right to Buy)
0.26
2015-12-31
4
M
0
36248
0.00
D
2015-12-31
Common Stock
36248
0
D
Stock Option (Right to Buy)
1.18
2017-03-22
Common Stock
36000
36000
D
The price reported is stated in Australian dollars.
13,333 stock options vest and become exercisable on 12/31/2015, 13,333 stock options vest and become exercisable on 12/31/2016, and 13,334 stock options vest and become exercisable on 12/31/2017.
13,333 stock options vested and became exercisable on 12/31/2014, 13,333 stock options vest and become exercisable on 12/31/2015, and 13,334 stock options vest and become exercisable on 12/31/2016.
8,333 stock options vested and became exercisable on 12/31/2013, 8,333 stock options vested and became exercisable on 12/31/2014, and 8,334 stock options vest and become exercisable on 12/31/2015.
8,333 stock options vested and became exercisable on 12/31/2012, 8,333 stock options vested and became exercisable on 12/31/2013, and 8,334 stock options vested and became exercisable on 12/31/2014.
8,333 stock options vested and became exercisable on 12/31/2011, 8,333 stock options vested and became exercisable on 12/31/2012, and 8,334 stock options vested and became exercisable on 12/31/2013
1/3 of the stock options vested and became exercisable on 12/31/10, 1/3 of the stock options vested and became exercisable on 12/31/11 and the remaining stock options vested and became exercisable on 12/31/12.
10,000 stock options vested and became exercisable on 12/31/10, 21,666 stock options vested and became exercisable on 12/31/11, 35,000 stock options vested and became exercisable on 12/31/12, 25,000 stock options vest and become exercisable on 12/31/13, and 13,334 stock options vest and become exercisable on 12/31/14.
8,333 stock options vested and became exercisable on 12/31/2009 and were exercised on February 10, 2010. 8,333 stock options vested and became exercisable on 12/31/2010 and the remaining stock options vested and became exercisable on 12/31/11.
1/3 of the stock options vested and became exercisable on 12/31/08. 1/3 of the stock options vested and became exercisable on 12/31/09. The remaining stock options vested and became exercisable on 12/31/10..
1/3 of the stock options vested and became exercisable on 01/01/07; 1/3 of the stock options vested and became exercisable on 01/01/08, and the remaining stock options vested and became exercisable on 01/01/09. All of these options were exercised on December 31, 2015
The stock options vested and became exercisable in three equal tranches on 12/31/07, 12/31/08, and 12/31/09.
/s/ Cameron Billingsley, Attorney-in-Fact
2016-01-13