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

Application for quotation of 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

 

Application for quotation of +securities

 

Announcement Summary

 

Entity name

ALTERITY THERAPEUTICS LIMITED

 

Announcement Type

New announcement

 

Date of this announcement

Monday January 08, 2024

 

The +securities to be quoted are:

+Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B

 

Total number of +securities to be quoted

 

ASX +security				Number of +securities to
code		Security description		be quoted		Issue date
ATH		ORDINARY FULLY PAID		1,008,965,805		08/01/2024

 

Refer to next page for full details of the announcement

 

 

Application for quotation of +securities

 

Part 1 - Entity and announcement details

 

1.1	Name of +Entity

ALTERITY THERAPEUTICS LIMITED

 

We (the entity named above) apply for +quotation of the following +securities and agree to the matters set out in Appendix 2A of the ASX Listing Rules.

 

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

 

 

Application for quotation of +securities

 

Part 2 - Type of Issue

 

2.1 The +securities to be quoted are:

+Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B

 

Previous Appendix 3B details:

 

Announcement Date and Time		Announcement Title		Selected Appendix 3B to submit quotation request
22-Nov-2023 10:02		New - Proposed issue of securities - ATH		A placement or other type of issue

 

2.3a.2 Are there any further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B?

Yes

 

2.3a.3 Please provide details of the further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B

Options to be issued in subsequent Appendix 3G

 

 

 

Application for quotation of +securities

 

Part 3A - number and type of +securities to be quoted where issue has previously been notified to ASX in an Appendix 3B

 

Placement Details

 

 

ASX +security code and description

ATH : ORDINARY FULLY PAID

 

Issue date

8/1/2024

 

Distribution Schedule

 

 

Provide a distribution schedule for the new +securities according to the categories set out in the left hand column - including the number of recipients and the total percentage of the new +securities held by the recipients in each category.

 

				Total percentage of +securities held
				For example, to enter a value of 50%
Number of +securities held		Number of holders		please input as 50.00
1 - 1,000				%
1,001 - 5,000				%
5,001 - 10,000				%
10,001 - 100,000				%
100,001 and over				%

 

 

Application for quotation of +securities

 

Issue details

 

Number of +securities to be quoted

1,008,965,805

 

Are the +securities being issued for a cash consideration?

Yes

 

In what currency is the cash consideration being paid?	What is the issue price per +security?
AUD - Australian Dollar	AUD 0.00350000

 

Any other information the entity wishes to provide about the +securities to be quoted

Issue of shares per Tranche Two of Placement

 

 

Application for quotation of +securities

 

Part 4 - Issued capital following quotation

 

Following the quotation of the +securities the subject of this application, the issued capital 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 on ASX following the +quotation of the +securities subject of this application)

 

		Total number of
ASX +security code and description		+securities on issue
ATH : ORDINARY FULLY PAID			3,811,326,185

 

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

 

		Total number of
ASX +security code and description		+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

 

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