0001104659-13-073924.txt : 20131003 0001104659-13-073924.hdr.sgml : 20131003 20131003171043 ACCESSION NUMBER: 0001104659-13-073924 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131003 FILED AS OF DATE: 20131003 DATE AS OF CHANGE: 20131003 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GENETIC TECHNOLOGIES LTD CENTRAL INDEX KEY: 0001166272 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-51504 FILM NUMBER: 131134555 BUSINESS ADDRESS: STREET 1: 60-66 HANOVER STREET CITY: FITZROY, VICTORIA STATE: C3 ZIP: 3065 BUSINESS PHONE: 011613-9415-1135 MAIL ADDRESS: STREET 1: 60-66 HANOVER STREET CITY: FITZROY, VICTORIA STATE: C3 ZIP: 3065 6-K 1 a13-21799_16k.htm 6-K

 

 

FORM 6-K

U.S. SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

REPORT OF FOREIGN PRIVATE ISSUER

PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE

SECURITIES EXCHANGE ACT OF 1934

 

dated October 3, 2013

 

Commission File Number 0-51504

 

GENETIC TECHNOLOGIES LIMITED

(Exact Name as Specified in its Charter)

 

N/A

(Translation of Registrant’s Name)

 

60-66 Hanover Street

Fitzroy

Victoria 3065 Australia

(Address of principal executive offices)

 

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 x           Form 40-F o

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): o

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): o

 

Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.

 

Yes o                        No x

 

If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b):  Not applicable.

 

 

 



 

SIGNATURES

 

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

 

 

Date: October 3, 2013

 

 

 

 

GENETIC TECHNOLOGIES LIMITED

 

 

 

 

 

 

By:

/s/ Thomas Howitt

 

 

Name:

Thomas Howitt

 

 

Title:

Chief Financial Officer

 

2



 

EXHIBIT INDEX

 

Exhibit

 

Description of Exhibit

 

 

 

99.1

 

ASX Announcement, October 3, 2013

 

3


EX-99.1 2 a13-21799_1ex99d1.htm EX-99.1

Exhibit 99.1

 

ASX ANNOUNCEMENT

3 October 2013

 

Share Purchase Plan closes

 

Melbourne, Australia; 3 October 2013: Genetic Technologies Limited (ASX: GTG; NASDAQ: GENE) is pleased to announce that its Share Purchase Plan (“SPP” and the “Plan”) has closed.  The Plan sought to raise a maximum of $3,000,000 before the payment of associated costs.

 

The Company advises that a total of $1,388,000 has been subscribed by shareholders under the Plan at the issue price of $0.072 per share.  As a result, the Underwriters to the Plan, Lodge Corporate Pty. Ltd. and Cygnet Capital Pty. Ltd. (“Cygnet”), or their nominees, are to subscribe for shares on the same terms and conditions in respect of the shortfall in the amount of $1,612,000, raising a total of $3,000,000 for the Company.

 

The Company also advises that Cygnet has committed to subscribe for further shares in the Company at the same issue price of $0.072 per share to raise an additional $1,000,000.  Of this amount, shares representing a total of $500,000 will be issued at the same time and issue price as the other shares under the Plan pursuant to the ASX Listing Rule 7.1.  Shares representing the remaining $500,000 will be issued at the same issue price but subject to shareholders refreshing the Company’s capacity under Listing Rule 7.1 (which the Company will seek at its Extraordinary General Meeting (“EGM”) to be held on 23 October 2013, the Notice for which has already been distributed to shareholders).

 

If such approval is granted by the shareholders at the EGM and the additional shares are issued to Cygnet, the Company will have raised a total of $4,000,000 and will have issued a further 55,555,556 shares in total.

 

The Company anticipates that a total of 48,611,111 shares will be issued as soon as the funds have been received from the Underwriters or their nominees, at which time the Company will release an ASX Appendix 3B and appropriate cleansing notice.

 

This capital raising of up to $4,000,000 excludes both the $3,000,000 that the Company raised from its recent private placement and the funding which may be raised by the Company under the Convertible Note with Ironridge BioPharma Co. (“Note”) (which, once drawdown, will have an immediate initial advance of at least US$5,000,000 to the Company).  This Note is also subject to shareholder approval at the upcoming EGM.

 

FOR FURTHER INFORMATION PLEASE CONTACT

 

Ms. Alison J. Mew

Laura Forman (USA)

 

Chief Executive Officer

Blueprint Life Science Group

 

 

 

 

Genetic Technologies Limited

+1 (415) 375 3340, Ext. 103

 

Phone: +61 3 8412 7000

 

 

 



 

About Genetic Technologies Limited

 

Genetic Technologies is an established diagnostics company with more than 20 years of experience in commercializing genetic testing, non-coding DNA and product patenting.  The Company has operations in Australia and the U.S. and is dual-listed on the ASX (Code: GTG) and NASDAQ (Ticker: GENE).  Genetic Technologies is focused on the commercialization of its patent portfolio through an active out-licensing program and the global expansion of its oncology and cancer management diagnostics assets.  Its U.S. subsidiary, Phenogen Sciences Inc., offers novel predictive testing and assessment tools to help physicians proactively manage women’s health.  Phenogen’s lead product, BREVAGen™, is a first in class, clinically validated risk assessment test for non-familial breast cancer.

 

For more information, please visit http://www.gtglabs.com and http://www.phenogensciences.com

 

Safe Harbor Statement

 

Any statements in this press release that relate to the Company’s expectations are forward-looking statements, within the meaning of the Private Securities Litigation Reform Act  The Private Securities Litigation Reform Act of 1995 (PSLRA) implemented several significant substantive changes affecting certain cases brought under the federal securities laws, including changes related to pleading, discovery, liability, class representation and awards fees.  Since this information may involve risks and uncertainties and are subject to change at any time, the Company’s actual results may differ materially from expected results.  Additional risks associated with Genetic Technologies’ business can be found in its periodic filings with the SEC.

 

Genetic Technologies Limited · Website: www.gtglabs.com · Email: info@gtglabs.com   ABN 17 009 212 328

Registered Office · 60-66 Hanover Street Fitzroy Victoria 3065 Australia · Postal Address P.O. Box 115 Fitzroy Victoria 3065 Australia

Phone +61 3 8412 7000 · Fax +61 3 8412 7040