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 18, 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

Thursday January 18, 2024

 

The +securities to be quoted are:

+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted

 

Total number of +securities to be quoted

 

				Number of
ASX +security code		Security description		+securities to be quoted		Issue date
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

 

 

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

18/1/2024

 

 

Application for quotation of +securities

 

Part 2 - Type of Issue

 

2.1 The +securities to be quoted are:

+Securities issued, transferred or re-classified as a result of options being exercised or other +convertible securities being converted

 

2.2 The +securities to be quoted are:

New +securities in a class that is not yet quoted on ASX (“new class”)

 

  

Application for quotation of +securities

 

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

Existing +securities converting into a new class

 

FROM (Existing Class)

ASX +security code and description

 

ATHAAJ : OPTION EXPIRING 31-AUG-2026 EX $0.01

 

TO (New Class) ASX +security code

New class - code to be confirmed

 

TO (New Class)

+Security description

OPTION EXPIRING 31-AUG-2026 EX $0.01

  

TO (New Class)		TO (New Class)
+Security type		ISIN Code

 

Options

Please state the number of options that were exercised or other +convertible securities that were converted				The first date the options were exercised or other +convertible securities were converted		The last date the options were exercised or other +convertible securities were converted
	457,142,830			18/1/2024		18/1/2024

 

Is this all of the options or other +convertible securities on issue of that type (ie have all of those options now been exercised or have all of those convertible securities now been converted)?

Yes

 

The right of the holder of the options or other +convertible securities to receive the +underlying securities is being satisfied by:

An issue of new +securities

 

The underlying securities being received by the holder are:

Intended to be, but are not yet, quoted by ASX

 

Were the options being exercised or other +convertible securities being converted issued under an +employee incentive scheme?

No

 

Issue date

8/1/2024

 

 

 

Application for quotation of +securities

 

Will all the +securities issued in this class rank equally in all respects from the 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

 

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		0			0.00	%
1,001 - 5,000		0			0.00	%
5,001 - 10,000		0			0.00	%
10,001 - 100,000		0			0.00	%
100,001 and over		72			100.00	%

 

Options Details

 

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

 

Details of the type of +security that will be issued if an option is exercised

ATH : ORDINARY FULLY PAID

 

Number of +securities that will be issued if an option is exercised

One ATH Ordinary Fully Paid Share

 

Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities to be quoted or provide the information by separate announcement.

Options Prospectus lodged 29 Dec 2023

https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02758927-3A634120

 

 

Application for quotation of +securities

 

Issue details

 

Number of +securities to be quoted

457,142,830

 

Are the +securities being 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

 

Please provide an estimate (in AUD) of the value of the consideration being provided per +security for the +securities to be quoted

0.002000

 

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

 

 

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
New class - code to be confirmed : OPTION EXPIRING 31-AUG-2026 EX $0.01			457,142,830

 

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
ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007			1,371,428,567
ATHAAJ : OPTION EXPIRING 31-AUG-2026 EX $0.01			0
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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