ATHE Alterity Therapeutics Limited

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 6-K

 

REPORT OF FOREIGN PRIVATE ISSUER

PURSUANT TO RULE 13a-16 OR 15d-163

UNDER THE SECURITIES EXCHANGE ACT OF 1934

 

For the month of January 2024

 

Alterity Therapeutics Limited

(Name of Registrant)

 

Level 14, 350 Collins Street, Melbourne, Victoria 3000 Australia

(Address of Principal Executive Office)

 

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.

 

Form 20-F  ☒       Form 40-F  ☐

 

This Form 6-K is being incorporated by reference into our Registration Statement on Form S-8 (Files No. 333-251073, 333-248980 and 333-228671) and our Registration Statements on Form F-3 (Files No. 333-274816, 333-251647, 333-231417 and 333-250076)

 

 

 

ALTERITY THERAPEUTICS LIMITED

(a development stage enterprise)

 

The following exhibits are submitted:

 

99.1

Notification regarding unquoted securities - ATH

  

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

	Alterity Therapeutics Limited
	By:	/s/ Geoffrey P. Kempler
		Geoffrey P. Kempler
		Chairman

 

Date: January 8, 2024

 

 

2

Exhibit 99.1

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Announcement Summary

 

Entity name

ALTERITY THERAPEUTICS LIMITED

 

Date of this announcement

Monday January 08, 2024

 

The +securities the subject of this notification are:

Other

 

Total number of +securities to be issued/transferred

 

ASX +security code		Security description		Total number of +securities to be issued/transferred				Issue date
New class - code to be confirmed		OPTION EXPIRING 31-AUG-2024 EX $0.007			1,371,428,567			08/01/2024
New class - code to be confirmed		OPTION EXPIRING 31-AUG-2026 EX $0.01			457,142,830			08/01/2024

 

Refer to next page for full details of the announcement

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 1 - Entity and announcement details

 

1.1 Name of entity

ALTERITY THERAPEUTICS LIMITED

 

We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.

 

1.2 Registered Number Type		Registration number
ABN		37080699065

 

1.3 ASX issuer code

ATH

 

1.4 The announcement is

New announcement

 

1.5 Date of this announcement

8/1/2024

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 2 - Issue details

 

2.1 The +securities the subject of this notification are:

Other

 

Please specify

Options issued under Placement per Appendix 3B issued 22 Nov 2023

 

2.2 a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:

does not have an existing ASX security code (“new class”)

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 3C - number and type of +securities the subject of this notification (new class) where issue has not previously been notified to ASX in an Appendix 3B

 

New +securities

 

ASX +security code		+Security description
New class - code to be confirmed		OPTION EXPIRING 31-AUG-2024 EX $0.007
+Security type		ISIN code
Options

 

Date the +securities the subject of this notification were issued

8/1/2024

 

Will all the +securities issued in this class rank equally in all respects from their issue date?

Yes

 

Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?

No

 

Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.

Options Prospectus lodged 29 Dec 2023 https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02758927-3A634120

 

Options Details

 

+Security currency	Exercise price	Expiry date
AUD - Australian Dollar	AUD 0.00700000	31/8/2024

 

Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option

Other

 

Description

One ATH fully paid ordinary share

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Please provide any further information needed to understand the circumstances in which you are notifying the issue of these +securities to ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B

Short-dated options issued under Placement per Appendix 3B issued 22 Nov 2023

 

Issue details

 

 

Number of +securities

1,371,428,567

 

Were the +securities issued for a cash consideration?

No

 

Please describe the consideration being provided for the +securities

One (1) free attaching short-dated option issued for each Placement share issued per Placement announcement 22 Nov 2023 and Prospectus dated 29 December 2023

 

Purpose of the issue

To raise additional working capital

 

 

New +securities

 

ASX +security code		+Security description
New class - code to be confirmed		OPTION EXPIRING 31-AUG-2026 EX $0.01

 

+Security type

ISIN code

Options

 

Date the +securities the subject of this notification were issued

8/1/2024

 

Will all the +securities issued in this class rank equally in all respects from their issue date?

Yes

 

Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?

No

 

Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.

Options Prospectus lodged 29 Dec 2023 https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02758927-3A634120

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Options Details

 

 

+Security currency	Exercise price	Expiry date
AUD - Australian Dollar	AUD 0.01000000	31/8/2026

 

Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option

Other

 

Description

ATH : ORDINARY FULLY PAID

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

Please provide any further information needed to understand the circumstances in which you are notifying the issue of these +securities to ASX, including why the issue of the +securities has not been previously announced to the market in an Appendix 3B

Long dated options issued under Placement per Appendix 3B issued 22 Nov 2023

 

Issue details

 

 

Number of +securities

457,142,830

 

Were the +securities issued for a cash consideration?

No

 

Please describe the consideration being provided for the +securities

One (1) free attaching long-dated option issued for each three (3) Placement shares issued per Placement announcement 22 Nov 2023 and Prospectus dated 29 December 2023

 

Purpose of the issue

To raise additional working capital

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 4 - +Securities on issue

 

Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise:

 

(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)

 

4.1 Quoted +Securities (Total number of each +class of +securities quoted)

 

ASX +security code and description		Total number of +securities on issue
ATH : ORDINARY FULLY PAID			2,802,360,380

 

4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)

 

ASX +security code and description		Total number of +securities on issue
ATHAAE : OPTION EXPIRING 29-NOV-2026 EX $0.0375			19,250,000
ATHAAF : OPTION EXPIRING 31-JUL-2024 EX $0.07			12,000,000
ATHAAG : OPTION EXPIRING 29-NOV-2026 EX $0.0238			11,900,000
ATHAAB : OPTION EXPIRING 17-SEP-2025 EX $0.09			35,000,000
ATHAAH : OPTION EXPIRING 19-DEC-2026 EX $0.0105			8,000,000
ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032			91,392,720
New class - code to be confirmed : OPTION EXPIRING 31-AUG-2024 EX $0.007			1,371,428,567
New class - code to be confirmed : OPTION EXPIRING 31-AUG-2026 EX $0.01			457,142,830

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 5 - Other Listing Rule requirements

 

5.1 Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1?

Yes

 

5.1 a Select the number of the applicable exception in Listing Rule 7.2

17

 

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