0000899243-19-006381.txt : 20190306 0000899243-19-006381.hdr.sgml : 20190306 20190306121322 ACCESSION NUMBER: 0000899243-19-006381 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190228 FILED AS OF DATE: 20190306 DATE AS OF CHANGE: 20190306 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: 19661780 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 2019-02-28 1 0001279695 UNIVERSAL BIOSENSORS INC UBI 0001432802 Oates Adrian 1 CORPORATE AVENUE ROWVILLE VICTORIA C3 3178 AUSTRALIA 0 1 0 0 See Remarks Common Stock 2019-02-28 4 M 0 105000 0.00 A 186837 D Common Stock 2019-02-28 4 M 0 25000 0.00 A 211837 D Common Stock 2019-02-28 4 M 0 40000 0.00 A 251837 D Common Stock 2019-02-28 4 M 0 40000 0.00 A 291837 D Stock Option (Right to Buy) 0.50 2023-04-20 Common Stock 728000 728000 D Stock Option (Right to Buy) 0.00 2019-02-28 4 M 0 40000 0.00 D 2022-01-29 Common Stock 40000 0 D Stock Option (Right to Buy) 0.00 2019-02-28 4 M 0 40000 0.00 D 2020-12-11 Common Stock 40000 0 D Stock Option (Right to Buy) 0.00 2019-02-28 4 M 0 25000 0.00 D 2019-11-12 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 2019-02-28 4 M 0 105000 0.00 D 2019-06-28 Common Stock 105000 0 D Stock Option (Right to Buy) 0.50 2024-02-27 Common Stock 93600 93600 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. These options were all exercised on 02/28/2019. 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. These options were all exercised on 02/28/2019. 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. These options were all exercised on 02/28/2019. 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. These options were all exercised on 02/28/2019. 93,600 options vested and became exercisable on December 31, 2017. 208,000 of the stock options vested and became exercisable on October 5, 2016, 416,000 of the stock options vested and became exercisable on December 31, 2016 and 104,000 of the stock options vested and became exercisable on February 23, 2017. Includes shares in the form of CDIs Dr. Oates holds directly. Vice President, Quality and Regulatory /s/ Salesh Balak, Attorney in Fact 2019-03-06