6-K 1 tv481940_6k.htm FORM 6-K

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

  

FORM 6-K

 

REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR

15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934

 

For the month of December 2017

 

Prana Biotechnology Limited

(Name of Registrant)

 

Level 2, 369 Royal Parade Parkville  Victoria  3052 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 x                   Form 40-F ¨

 

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): __

 

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): __

 

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 ¨                      No x 

 

If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): 82- _____

 

This Form 6-K is being incorporated by reference into the Registrant’s Registration Statements on Form F-3 (File No. 333-199783) and Form S-8 (File No. 333-153669).

 

 

 

 

 

PRANA BIOTECHNOLOGY LIMITED

 

6-K Items

 

1.Appendix 3Y

 

 

 

 

SIGNATURES

 

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.

  

  PRANA BIOTECHNOLOGY LIMITED
    (Registrant)
     
     
  By: /s/ Geoffrey Kempler  
    Geoffrey Kempler,
    Executive Chairman

  

December 22, 2017

 

 

 

 

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.

 

 Name of Entity:

 Prana Biotechnology Limited (ASX:PBT)

ACN:

 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:

Dr. George Mihaly

Date of Last Notice:

12th December 2012

 

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.

 

    

-

 

  
Date of change    

19th December 2017

  

  
         
No. of securities held prior to Change       Shares Options  
      Direct 166,666 1,000,000*  
      Indirect

60,000

 -  
      Total 226,666 1,000,000  
         
      *options lapsed  
         

Class

     Unlisted Options  
             
             
Number acquired       Shares Options  
      Direct - -  
      Indirect - -  
      Total - 1,250,000  
             

 

+ See chapter 19 for defined terms.

 

11/3/2002   Appendix 3Y  Page 1

 

 

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

         

Number disposed

       Shares Options  
      Direct - -  
      Indirect - -  
      Total - -  
         
      *options lapsed  
         
         

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

     As detailed in the Explanatory Memorandum which accompanied and formed part of the 2017 Notice of Annual General Meeting of the Company.  
             
             
No. of securities held after change       Shares Options  
      Direct 166,666 -  
      Indirect 60,000 -  
      Total 226,666 1,250,000  
             

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 options under the Employee Share Option Plan  
             

 

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
   

 

22 Dec 2012

  

+ See chapter 19 for defined terms.

 

Appendix 3Y Page 2   11/3/2002