-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AiSBAzf64GX3UXFV/Co1wAE29e58c+xWeSasrYcOPlZskAcy4ydjFGqTGrc1Zg6U J/8aW1KmqqEfRj0JxeccrA== 0001209191-09-055830.txt : 20091208 0001209191-09-055830.hdr.sgml : 20091208 20091208102641 ACCESSION NUMBER: 0001209191-09-055830 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090515 FILED AS OF DATE: 20091208 DATE AS OF CHANGE: 20091208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hodges Alastair CENTRAL INDEX KEY: 0001397489 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52607 FILM NUMBER: 091227770 MAIL ADDRESS: STREET 1: 103 RICKETTS ROAD STREET 2: MT. WAVERLEY CITY: VICTORIA STATE: C3 ZIP: 3149 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: 613-8542-9000 MAIL ADDRESS: STREET 1: 1 CORPORATE AVENUE STREET 2: ROWVILLE CITY: VICTORIA STATE: C3 ZIP: 3178 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-05-15 0 0001279695 UNIVERSAL BIOSENSORS INC UBI 0001397489 Hodges Alastair 1 CORPORATE AVENUE ROWVILLE VICTORIA C3 3178 AUSTRALIA 0 1 0 0 Chief Scientist Common Stock 2009-11-10 4 A 0 581 1000.00 A 3048997 D Stock Option (Right to Buy) 1.72 2009-11-10 4 A 0 100000 0.00 A 2019-11-09 Common Stock 100000 100000 D Stock Option (Right to Buy) 0.00 2009-06-29 4 A 0 105000 0.00 A 2019-06-28 Common Stock 105000 105000 D Stock Option (Right to Buy) 0.00 2009-05-15 4 A 0 25000 0.00 A 2019-05-14 Common Stock 25000 25000 D Stock Option (Right to Buy) 0.89 2018-03-16 Common Stock 100000 100000 D Stock Option (Right to Buy) 0.22 2013-12-31 Common Stock 768448 768448 D Stock Option (Right to Buy) 0.26 2015-12-31 Common Stock 36248 36248 D Stock Option (Right to Buy) 1.18 2017-03-21 Common Stock 36000 36000 D The price reported is stated in Australian dollars. The stock options vest and become exercisable in three equal traches on 12/31/10, 12/31/11 and 12/31/12. 10,000 stock options vest and become exercisable on 12/31/10, 21,666 stock options vest and become exercisable on 12/31/11, 35,000 stock options vest and become exercisable on 12/31/12, 25,000 stock options vest and become exercisable on 12/31/13, and 13,334 stock options vest and become exercisable on 12/31/14. The stock options vest and become exercisable in three equal tranches on 12/31/09, 12/31/10 and 12/31/11. 1/3 of the stock options vested and became exercisable 12/31/08. The remaining stock options vest and become exercisable in two equal tranches on 12/31/09 and 12/31/10. The stock options vested and became exercisable in three equal tranches on 12/31/04, 12/31/05, and 12/31/06. 1/3 of the stock options vested and became exercisable on 01/01/07. 1/3 of the stock options vested and became exercisable on 01/01/08. The remaining stock options vested and became exercisable on 01/01/09. 1/3 of the stock options vested and became exercisable on 12/31/07. 1/3 of the stock options vested and beaome exercisable on 12/31/08. The remaining stock optios will vest and cecome exercisable on 12/31/09. /s/ Cameron Billingsley, Attorney-in-Fact 2009-12-08 -----END PRIVACY-ENHANCED MESSAGE-----