0001437749-20-019433.txt : 20200909 0001437749-20-019433.hdr.sgml : 20200909 20200909060530 ACCESSION NUMBER: 0001437749-20-019433 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200901 FILED AS OF DATE: 20200909 DATE AS OF CHANGE: 20200909 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Balak Salesh CENTRAL INDEX KEY: 0001397500 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52607 FILM NUMBER: 201165307 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: 613-9213-9000 MAIL ADDRESS: STREET 1: 1 CORPORATE AVENUE STREET 2: ROWVILLE CITY: VICTORIA STATE: C3 ZIP: 3178 4 1 rdgdoc.xml FORM 4 X0306 4 2020-09-01 0001279695 UNIVERSAL BIOSENSORS INC UBI 0001397500 Balak Salesh 1 CORPORATE AVENUE ROWVILLE VICTORIA C3 3178 AUSTRALIA 1 Chief Financial Officer Common Stock 226558 D Stock Option (Right to Buy) 0.30 2020-09-01 4 A 0 500000 0 A 2025-03-24 Common Stock 500000 500000 D Stock Option (Right to Buy) 0.5000 2023-04-20 Common Stock 721000 721000 D Stock Option (Right to Buy) 0.5000 2024-02-27 Common Stock 216300 216300 D Stock Option (Right to Buy) 0.0000 2022-01-29 Common Stock 40000 40000 D Stock Option (Right to Buy) 0.0000 2020-12-11 Common Stock 40000 40000 D The price reported is stated in Australian dollars. 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 vest and become exercisable on 12/31/2016. 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 vested and became exercisable on 12/31/2017. 216,300 stock options vested and became exercisable on 12/31/2017. 206,000 of the stock options vested and became exercisable on 10/05/2016, 412,000 of the stock options vested and became exercisable on 12/31/2016 and 103,000 of the stock options vested and became exercisable on 02/23/2017. The options are fully vested but can only be exercised after 03/01/2021. Includes (i) 222,392 shares in the form of CDIs Mr. Balak holds directly and (ii) 4,166 restricted fully paid shares. /s/ Salesh Balak 2020-09-07