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