0000899243-18-011956.txt : 20180508 0000899243-18-011956.hdr.sgml : 20180508 20180508200043 ACCESSION NUMBER: 0000899243-18-011956 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180504 FILED AS OF DATE: 20180508 DATE AS OF CHANGE: 20180508 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Legleiter Rick L CENTRAL INDEX KEY: 0001718503 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52607 FILM NUMBER: 18816355 MAIL ADDRESS: STREET 1: UNIVERSAL BIOSENSORS, INC. STREET 2: 1 CORPORATE AVENUE CITY: ROWVILLE 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 2018-05-04 0 0001279695 UNIVERSAL BIOSENSORS INC UBI 0001718503 Legleiter Rick L 1 CORPORATE AVENUE ROWVILLE VICTORIA C3 3178 AUSTRALIA 0 1 0 0 Chief Executive Officer Common Stock 2018-05-04 4 P 0 158687 0.2585 A 158687 D Stock Option (Right to Buy) 0.50 2022-10-23 Common Stock 1600000 1600000 D Stock Option (Right to Buy) 0.60 2022-10-23 Common Stock 2700000 2700000 D Stock Option (Right to Buy) 0.80 2022-10-23 Common Stock 3300000 3300000 D Traded as Chess Depository Interests ("CDIs") on the Australian Stock Exchange. CDIs represent beneficial interests in the common stock held by CHESS Depository Nominees Pty Ltd. The price reported in Column 4 is a weighted average price and is stated in Australian dollars. These shares were purchased in multiple transactions at prices ranging from AU$0.24 to AU$0.27. The Reporting Person undertakes to provide to Universal Biosensors, Inc. ("UBI"), any security holder of UBI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. The price reported is stated in Australian dollars. The options were granted on October 24, 2017. The options will vest and only become exercisable on the date that is three years from the date of grant of the options, subject to continued employment at the time of vesting. If the Company terminates the employment without cause prior to the vesting date, a proportion of the options will vest, being the same as the proportion of the three year vesting period that the employee served with the Company. /s/ Cameron Billingsley, Attorney in Fact 2018-05-08