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