0001437749-21-022138.txt : 20210914
0001437749-21-022138.hdr.sgml : 20210914
20210914202547
ACCESSION NUMBER: 0001437749-21-022138
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200324
FILED AS OF DATE: 20210914
DATE AS OF CHANGE: 20210914
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Sharman John Stewart
CENTRAL INDEX KEY: 0001812991
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-52607
FILM NUMBER: 211253875
MAIL ADDRESS:
STREET 1: 1 CORPORATE AVENUE
CITY: ROWVILLE
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
rdgdoc.xml
FORM 4
X0306
4
2020-03-24
0001279695
UNIVERSAL BIOSENSORS INC
UBI
0001812991
Sharman John Stewart
UNIVERSAL BIOSENSORS, INC.,
1 CORPORATE AVENUE
ROWVILLE
C3
3178
AUSTRALIA
1
Chief Executive Officer
Common Stock
276217
I
By wife
Stock Option (Right to Buy)
0.20
2020-03-24
5
G
0
1000000
0
D
2024-03-24
Common Stock
1000000
1364666
D
Stock Option (Right to Buy)
0.20
2020-03-24
5
G
0
1000000
0
A
2024-03-24
Common Stock
1000000
1000000
I
By wife
Performance Rights
2021-08-19
4
A
0
2500000
0
A
2025-03-24
Common Stock
2500000
2500000
D
Performance Rights
2021-08-19
4
A
0
1250000
0
A
2025-03-24
Common Stock
1250000
1250000
D
Stock Option (Right to Buy)
0.2500
2025-03-24
Common Stock
2364667
2364667
D
Stock Option (Right to Buy)
0.3000
2025-03-24
Common Stock
1364667
1364667
D
Stock Option (Right to Buy)
0.3000
2025-03-24
Common Stock
1000000
1000000
I
By superannuation fund
The reporting person disclaims beneficial ownership of the shares held by his wife, and this report should not be deemed an admission that the reporting person is the beneficial owner of his wife's shares for purposes of Section 16 or for any other purpose.
The price reported is stated in Australian dollars.
This transaction involved a gift of securities by the reporting person to his wife, who shares reporting person's household.
The options are fully vested and became exercisable after September 24, 2020.
Each performance right represents a contingent right to receive one share of common stock of Universal Biosensors, Inc. ("UBI"). The performance rights vest upon, among other triggers, UBI's market capitalization having achieved a specified threshold.
Each performance right represents a contingent right to receive one share of common stock of UBI. The performance rights vest upon a change of control transaction with a value greater a specified threshold.
/s/ John Sharman
2021-09-14