0001104659-22-002939.txt : 20220111 0001104659-22-002939.hdr.sgml : 20220111 20220111061520 ACCESSION NUMBER: 0001104659-22-002939 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20220111 DATE AS OF CHANGE: 20220111 GROUP MEMBERS: ALEXANDER JAMES WHITE GROUP MEMBERS: DAVID ST QUINTIN GROUP MEMBERS: EDMON ODZA GROUP MEMBERS: RH HIGH CONVICTION FUND SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83737 FILM NUMBER: 22522700 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Richmond Hill Capital Pty Ltd CENTRAL INDEX KEY: 0001840417 IRS NUMBER: 000000000 STATE OF INCORPORATION: C3 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: LEVEL 4, 7 HOWARD STREET CITY: RICHMOND STATE: C3 ZIP: 3121 BUSINESS PHONE: 61 3 8394 6325 MAIL ADDRESS: STREET 1: LEVEL 4, 7 HOWARD STREET CITY: RICHMOND STATE: C3 ZIP: 3121 SC 13G 1 tm222575d1_sc13g.htm SC 13G

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549

 

 

SCHEDULE 13G

(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2

(Amendment No. ___)*

 

 

Universal Biosensors, Inc.

 

(Name of Issuer)

 

 

Common Stock, par value US$0.0001

 

(Title of Class of Securities)

 

 

Not Applicable

 

(CUSIP Number)

 

 

January 11, 2022

 

(Date of Event Which Requires Filing of the Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

¨            Rule 13d-1(b)
¨            Rule 13d-1(c)
x           Rule 13d-1(d)

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

 

 

 

Cusip No. Not Applicable 13G Page 2 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSONS

 

Richmond Hill Capital Pty Ltd

 

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)

(a)     ¨

(b)    x

 

 

3.

 

SEC USE ONLY

 

 

4.

 

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Australia

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

5.

 

SOLE VOTING POWER

 

 

6.

 

SHARED VOTING POWER

 

6,771,498*

 

7.

 

SOLE DISPOSITIVE POWER

 

 

8.

 

SHARED DISPOSITIVE POWER

 

6,771,498*

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,771,498*

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

¨

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.81%**

 

12.

 

TYPE OF REPORTING PERSON (See Instructions)

 

OO

*See Item 4

**Based on 177,828,504 shares of common stock outstanding of the issuer as of January 11, 2022.

 

Page 2 of 10

 

 

Cusip No. Not Applicable 13G Page 3 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSONS

 

RH High Conviction Fund

 

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)

(a)     ¨

(b)    x

 

 

3.

 

SEC USE ONLY

 

 

4.

 

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Australia

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

5.

 

SOLE VOTING POWER

 

 

6.

 

SHARED VOTING POWER

 

6,771,498*

 

7.

 

SOLE DISPOSITIVE POWER

 

 

8.

 

SHARED DISPOSITIVE POWER

 

6,771,498*

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,771,498*

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

¨

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.81%**

 

12.

 

TYPE OF REPORTING PERSON (See Instructions)

 

OO

*See Item 4

** Based on 177,828,504 shares of common stock outstanding of the issuer as of January 11, 2022.

 

Page 3 of 10

 

 

Cusip No. Not Applicable 13G Page 4 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSONS

 

Edmon Odza

 

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)

(a)     ¨

(b)    x

 

 

3.

 

SEC USE ONLY

 

 

4.

 

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Australia

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

5.

 

SOLE VOTING POWER

 

 

6.

 

SHARED VOTING POWER

 

6,771,498*

 

7.

 

SOLE DISPOSITIVE POWER

 

 

8.

 

SHARED DISPOSITIVE POWER

 

6,771,498*

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,771,498*

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

¨

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.81%**

 

12.

 

TYPE OF REPORTING PERSON (See Instructions)

 

IN

*See Item 4

** Based on 177,828,504 shares of common stock outstanding of the issuer as of January 11, 2022.


Page 4 of 10

 

 

Cusip No. Not Applicable 13G Page 5 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSONS

 

Alexander James White

 

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)

(a)     ¨

(b)    x

 

 

3.

 

SEC USE ONLY

 

 

4.

 

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Australia

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

5.

 

SOLE VOTING POWER

 

 

6.

 

SHARED VOTING POWER

 

6,771,498*

 

7.

 

SOLE DISPOSITIVE POWER

 

 

8.

 

SHARED DISPOSITIVE POWER

 

6,771,498*

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,771,498*

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

¨

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.81%**

 

12.

 

TYPE OF REPORTING PERSON (See Instructions)

 

IN

*See Item 4

** Based on 177,828,504 shares of common stock outstanding of the issuer as of January 11, 2022.

 

Page 5 of 10

 

 

Cusip No. Not Applicable 13G Page 6 of 10 Pages

 

 

1.

 

NAME OF REPORTING PERSONS

 

David St Quintin

 

 

2.

 

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)

(a)     ¨

(b)    x

 

 

3.

 

SEC USE ONLY

 

 

4.

 

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Australia

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

5.

 

SOLE VOTING POWER

 

 

6.

 

SHARED VOTING POWER

 

6,771,498*

 

7.

 

SOLE DISPOSITIVE POWER

 

 

8.

 

SHARED DISPOSITIVE POWER

 

6,771,498*

 

9.

 

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

6,771,498*

 

10.

 

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

¨

 

11.

 

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

3.81%**

 

12.

 

TYPE OF REPORTING PERSON (See Instructions)

 

IN

*See Item 4

** Based on 177,828,504 shares of common stock outstanding of the issuer as of January 11, 2022.

 

Page 6 of 10

 

 

Cusip No. Not Applicable 13G Page 7 of 10 Pages

 

Item 1(a).Name of Issuer:

 

Universal Biosensors, Inc. (the “Company”)

 

Item 1(b).Address of Issuer’s Principal Executive Offices:

 

1 Corporate Avenue

Rowville, Victoria, Australia 3178

 

Item 2.

 

(a) - (c) This Schedule 13G is being filed jointly by Richmond Hill Capital Pty Ltd, an Australian proprietary limited company (“Richmond Hill Capital”), RH High Conviction Fund (“RH High Conviction Fund”), an Australian unit trust, Edmon Odza, Alexander James White and David St Quintin, each of whom is sometimes referred to herein as a “Reporting Person” and collectively as the “Reporting Persons.”

 

The principal business address of each of Richmond Hill Capital, RH High Conviction Fund, Messrs. Odza, White and St Quintin is c/o Richmond Hill Capital Pty Ltd, Level 4, 7 Howard Street, Richmond, Victoria, Australia 3121.

 

Messrs. Odza, White and St Quintin are Australian citizens.

 

(d)Title of Class of Securities:

 

Common stock, par value US$0.0001 per share (the “Shares”), 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.

 

(e)CUSIP Number:

 

Not applicable.

 

Item 3.If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

 

(a)¨ Broker or dealer registered under Section 15 of the Act (15 U.S.C 78o);

 

(b)¨ Bank as defined in Section 3(a)(6) of the Act (15 U.S.C 78c);

 

(c)¨ Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C 78c);

 

(d)¨ Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

 

(e)¨ An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

 

(f)¨ An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);

 

(g)¨ A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

Page 7 of 10

 

 

Cusip No. Not Applicable 13G Page 8 of 10 Pages

 

(h)¨ A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)¨ A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);

 

(j)¨ A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);

 

(k)¨ Group, in accordance with § 240.13d-1(b)(1)(ii)(K).

 

If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution: _________________

 

Item 4.Ownership:

 

See items 5-11 of the cover pages hereto for beneficial ownership, percentage of class and dispositive power of the Reporting Persons, which are incorporated herein.

 

RH High Conviction Fund beneficially owns 6,771,498 Shares. Richmond Hill Capital, as the sole trustee and manager of the foregoing entities, may be deemed to beneficially own 6,771,498 Shares. As the sole trustee and manager of the foregoing entities, Richmond Hill Capital shares voting and dispositive power over, and may be deemed to beneficially own, the Shares held by the foregoing entities.

 

Each of Edmon Odza, Alexander James White and David Langond St Quintin share voting and dispositive power over, and may be deemed to beneficially own all of the Shares, held by the foregoing entities, due to each of the foregoing individuals serving as a director of Richmond Hill Capital. Each of Messrs. Odza, White and St Quintin disclaims beneficial ownership over the Shares held by the foregoing entities.

 

Item 5.Ownership of Five Percent or Less of a Class:

 

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following x.

 

Item 6.Ownership of More than Five Percent on Behalf of Another Person:

 

Not Applicable.

 

Item 7.Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:

 

Not Applicable.

 

Item 8.Identification and Classification of Members of the Group:

 

Not Applicable.

 

Page 8 of 10

 

 

Cusip No. Not Applicable 13G Page 9 of 10 Pages

 

Item 9.Notice of Dissolution of Group:

 

Not Applicable.

 

Item 10.Certifications:

 

Not Applicable.

 

Page 9 of 10

 

 

Cusip No. Not Applicable 13G Page 10 of 10 Pages

 

SIGNATURE

 

After reasonable inquiry and to the best of its knowledge and belief, I certify (the undersigned certifies) that the information set forth in this statement is true, complete and correct.

 

January 11, 2022

 

 

RICHMOND HILL CAPITAL PTY LTD

RH HIGH CONVICTION FUND

EDMON ODZA

ALEXANDER JAMES WHITE

DAVID ST QUINTIN

 

  RICHMOND HILL CAPITAL PTY LTD
   
     
  By: /s/ Edmon Odza
  Name: Edmon Odza
  Title: Director & Company Secretary
     
  For itself and on behalf of RH High Conviction Fund, Edmon Odza, Alexander James White and David St Quintin, pursuant to an agreement annexed as Exhibit 1 hereto.

 

Page 10 of 10

 

EX-99.1 2 tm222575d1_ex99-1.htm EXHIBIT 99.1

 

Exhibit 99.1

 

JOINT FILING AGREEMENT

 

January 11, 2022

 

Pursuant to Rule 13d-1(k)(1)(iii) promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees that RICHMOND HILL CAPITAL PTY LTD ("Richmond Hill Capital") may file as necessary on behalf of the undersigned with the Securities and Exchange Commission a Schedule 13G or Schedule 13D and any amendments thereto in respect of shares of Universal Biosensors, Inc. purchased, owned or sold from time to time by the undersigned.

 

Richmond Hill Capital is hereby authorized to file a copy of this letter as an exhibit to said Schedule 13G or Schedule 13D or any amendments thereto.

 

  RICHMOND HILL CAPITAL PTY LTD
   
  By: /s/ Edmon Odza
  Name: Edmon Odza
  Title: Director & Company Secretary

 

 

  RH HIGH CONVICTION FUND
   
  By: Richmond Hill Capital Pty Ltd
     
  By: /s/ Edmon Odza
  Name: Edmon Odza
  Title: Director & Company Secretary

 

 

  Edmon Odza  
   
  By: /s/ Edmon Odza  
   
  Alexander James White  
   
  By: /s/ Alexander James White
   
  David St Quintin  
   
  By: /s/ David St Quintin