0000899243-17-020560.txt : 20170817
0000899243-17-020560.hdr.sgml : 20170817
20170817113719
ACCESSION NUMBER: 0000899243-17-020560
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170816
FILED AS OF DATE: 20170817
DATE AS OF CHANGE: 20170817
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Oates Adrian
CENTRAL INDEX KEY: 0001432802
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-52607
FILM NUMBER: 171038020
MAIL ADDRESS:
STREET 1: 1 CORPORATE AVENUE
CITY: ROWVILLE VICTORIA
STATE: C3
ZIP: 3178
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-08-16
0
0001279695
UNIVERSAL BIOSENSORS INC
UBI
0001432802
Oates Adrian
1 CORPORATE AVENUE
ROWVILLE
VICTORIA
C3
3178
AUSTRALIA
0
1
0
0
See Remarks
Common Stock
2017-08-16
4
M
0
41667
0.00
A
56837
D
Stock Option (Right to Buy)
0.50
2023-04-20
Common Stock
728000
728000
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
2017-08-16
4
M
0
25000
0.00
D
2017-11-10
Common Stock
25000
0
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
2017-08-16
4
M
0
16667
0.00
D
2019-05-14
Common Stock
16667
0
D
Stock Option (Right to Buy)
1.20
2017-09-18
Common Stock
400000
400000
D
The price is stated in Australian dollars.
13,333 stock options vested and became exercisable on 12/31/2015, 13,333 stock options vested and became 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 vested and became exercisable on 12/31/2015, and 13,334 stock options vested and became 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 vested and became 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.
1/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012. All of these options were exercised on August 16, 2017.
1/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012.
10,000 stock options vested and became exercisable on 12/31/2010, 21,666 stock options vested and became exercisable on 12/31/2011, 35,000 stock options vested and became exercisable on 12/31/2012, 25,000 stock options vested and became exercisable on 12/31/2013, and 13,334 stock options vested and became exercisable on 12/31/2014.
8,333 stock options vested and became exercisable on 12/31/2010 and the remaining stock options vested and became exercisable on 12/31/2011. All of these options were exercised on August 16, 2017.
1/3 of the stock options vested and became exercisable on 06/30/2008, 1/3 of the options vested and became exercisable on 06/30/2009 and the remaining stock options vested and became exercisable on 06/30/2010.
208,000 of the stock options vested and became exercisable on October 5, 2016, 416,000 of the stock options vested and became exerciseable on December 31, 2016 and 104,000 of the stock options vested and became exercisable on February 23, 2017.
Includes (i) 46,960 shares in the form of CDIs Dr. Oates holds directly and (ii) 9,877 restricted fully paid shares.
Vice President, Quality & Regulatory
/s/ Cameron Billingsley, Attorney-in-Fact
2017-08-17