0001437749-20-025828.txt : 20201223
0001437749-20-025828.hdr.sgml : 20201223
20201223060639
ACCESSION NUMBER: 0001437749-20-025828
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201211
FILED AS OF DATE: 20201223
DATE AS OF CHANGE: 20201223
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: 201409701
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
2020-12-11
0001279695
UNIVERSAL BIOSENSORS INC
UBI
0001397500
Balak Salesh
1 CORPORATE AVENUE
ROWVILLE
VICTORIA
C3
3178
AUSTRALIA
1
Chief Financial Officer
Common Stock
2020-12-11
4
M
0
40000
0
A
266558
D
Stock Option (Right to Buy)
0.3000
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
2020-12-11
4
M
0
40000
0
D
2020-12-11
Common Stock
40000
0
D
Includes (i) 262,392 shares in the form of CDIs Mr. Balak holds directly and (ii) 4,166 restricted fully paid shares.
The price reported is stated in Australian dollars.
The options are fully vested but can only be exercised after 03/01/2021.
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.
216,300 stock options vested and became exercisable on 12/31/2017.
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.
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. These options were exercised on 12/11/2020.
/s/ Salesh Balak
2020-12-23