Form 6-K - Report of foreign issuer [Rules 13a-16 and 15d-16]
12 January 2024 - 9:19AM
Edgar (US Regulatory)
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:
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 11, 2024
2
Exhibit 99.1
Confidential
Appendix 3Y
Change of Director’s
Interest Notice
Rule
3.19A.2
Appendix
3Y
Change
of Director’s Interest Notice
Information
or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property
and may be made public.
Introduced
30/9/2001. Amended 01/01/11
Name
of Entity: |
Alterity
Therapeutics Limited (ASX:ATH) |
ABN: |
37
080 699 065 |
We
(the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section
205G of the Corporations Act.
Name
of Director: |
Mr.
Peter Marks |
Date
of Last Notice: |
15
December 2022 |
Part
1 - Change of director’s relevant interests in securities
In
the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note:
In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director”
should be disclosed in this part.
Direct
or indirect interest |
Direct
and indirect |
Nature
of indirect interest
(including registered holder)
Note:
Provide details of the circumstances giving rise to the relevant interest. |
Related
entity |
Date
of change |
08
January 2024 |
No.
of securities held prior to change |
|
|
|
Shares |
Options |
|
Direct |
- |
7,000,000 |
Indirect |
43,111 |
|
Total |
43,111 |
7,000,000 |
Class |
Unlisted
Options |
Number
acquired |
|
|
|
Shares |
Options |
|
Direct |
- |
|
Indirect |
7,142,857 |
9,523,809 |
Total |
7,142,857 |
7,142,857 |
Number
disposed |
|
|
|
Shares |
Options |
|
Direct |
- |
- |
Indirect |
- |
- |
Total |
- |
- |
Value/Consideration
Note:
If consideration is non-cash, provide details and estimated valuation |
A$0.0035
per share with free attaching per Notice of EGM held 29 December 2023 |
+ See chapter 19 for defined terms. | |
| |
01/01/2011 | Appendix 3Y Page 1 |
Confidential
Appendix 3Y
Change of Director’s
Interest Notice
No.
of securities held after change |
|
|
|
|
Shares |
Options |
Direct |
- |
7,000,000 |
Indirect |
7,185,986 |
9,523,809 |
Total |
7,185,968 |
16,523,809 |
Nature
of change
Example:
on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in
buy-back |
Issue
of shares and options under placement approved at the EGM held 29 December 2023 |
Part
2 – Change of director’s interests in contracts
Note:
In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director”
should be disclosed in this part.
Detail
of contract |
|
Nature
of interest |
|
Name
of registered holder
(if
issued securities) |
|
Date
of change |
|
No.
and class of securities to which interest related prior to change
Note:
Details are only required for a contract in relation to which the interest has changed |
|
Interest
acquired |
|
Interest
disposed |
|
Value/Consideration
Note:
If consideration is non-cash, provide details and an estimated valuation |
|
Interest
after change |
|
Part
3 - +Closed Period
Were
the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? |
No |
If
so, was prior written clearance provided to allow the trade to proceed during this period? |
N/A |
If
prior written clearance was provided on what date was this provided? |
N/A |
|
The CFO Solution |
+ See chapter 19 for defined terms. | |
| |
Appendix 3Y Page 2 | 01/01/2011 |
Confidential
Appendix 3Y
Change of Director’s
Interest Notice
Rule 3.19A.2
Appendix
3Y
Change
of Director’s Interest Notice
Information
or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property
and may be made public.
Introduced
30/9/2001.. Amended 01/01/11
Name
of Entity: |
Alterity
Therapeutics Limited (ASX:ATH) |
ABN: |
37
080 699 065 |
We
(the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section
205G of the Corporations Act.
Name
of Director: |
Mr.
Brian Meltzer |
Date
of Last Notice: |
15
December 2022 |
Part
1 - Change of director’s relevant interests in securities
In
the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
Note:
In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director”
should be disclosed in this part.
Direct
or indirect interest |
Direct |
Nature
of indirect interest
(including registered holder)
Note:
Provide details of the circumstances giving rise to the relevant interest. |
Related
entity |
Date
of change |
08
January 2024 |
No.
of securities held prior to change |
|
|
|
Shares |
Options |
|
Direct |
- |
7,000,000 |
Indirect |
326,666 |
- |
Total |
326,666 |
8,250,000 |
Class |
Unlisted
Options |
Number
acquired |
|
|
|
Shares |
Options |
|
Direct |
7,142,857 |
9,523,809 |
Indirect |
- |
- |
Total |
- |
- |
Number
disposed |
|
|
|
Shares |
Options |
|
Direct |
- |
- |
Indirect |
- |
- |
Total |
- |
- |
+ See chapter 19 for defined terms. | |
| |
11/3/2002 | Appendix 3Y Page 1 |
Confidential
Appendix 3Y
Change of Director’s
Interest Notice
Value/Consideration
Note:
If consideration is non-cash, provide details and estimated valuation |
A$0.0035
per share with free attaching per Notice of EGM held 29 December 2023 |
No.
of securities held after change |
|
|
|
Shares |
Options |
|
Direct |
7,142,857 |
16,523,809 |
Indirect |
326,666 |
- |
Total |
7,469,523 |
16,523,809 |
Nature
of change
Example:
on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in
buy-back |
Issue
of shares and options under placement approved at the EGM held 29 December 2023 |
Part
2 – Change of director’s interests in contracts
Note:
In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director”
should be disclosed in this part.
Detail
of contract |
N/A |
Nature
of interest |
|
Name
of registered holder
(if
issued securities) |
|
Date
of change |
|
No.
and class of securities to which interest related prior to change
Note:
Details are only required for a contract in relation to which the interest has changed |
|
Interest
acquired |
|
Interest
disposed |
|
Value/Consideration
Note:
If consideration is non-cash, provide details and an estimated valuation |
|
Interest
after change |
|
Part
3 - +Closed Period
Were
the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? |
No |
If
so, was prior written clearance provided to allow the trade to proceed during this period? |
N/A |
If
prior written clearance was provided on what date was this provided? |
N/A |
|
The CFO Solution |
+ See chapter 19 for defined terms. | |
| |
Appendix 3Y Page 2 | 01/01/2011 |
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