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 June 2019
Alterity Therapeutics Limited
(Name of Registrant)
Level 3, 460 Bourke Street, Melbourne, VIC 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 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. 333-220886) and Form S-8 (File No. 333-228671).
Alterity Therapeutics Limited
6-K | Items |
1. |
Ceasing to be a substantial holder - ATH |
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.
ALTERITY THERAPEUTICS LIMITED | |||
(Registrant) | |||
By: | /s/ Geoffrey Kempler | ||
Geoffrey Kempler, | |||
Executive Chairman |
June 4, 2019
Form 605
Corporations Act 2001
Section 671B
Notice of ceasing to be a substantial holder
To Company Name/Scheme | Alterity Therapeutics Limited |
ACN/ARSN | 080 699 065 |
1. Details of substantial holder (1)
Name | Alterity Therapeutics Limited |
ACN/ARSN (if applicable) | 080 699 065 |
The holder became a substantial holder on | 03 /06 / 19 |
The previous notice was given to the company | 11/ 05 /19 |
The previous notice was dated | 11/ 05 /19 |
2. Changes in relevant interests
Particulars of each change in, or change in the nature of, are levant interest (2) of the substantial holder or an associate (3) in voting securities of the company or scheme, since t substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:
Date of change | Person whose relevant interest changed | Nature of change (4) | Consideration given in relation to change (5) | Class (6) and number of securities affected | Person's votes affected |
3 June 2019 | Alterity Therapeutics Limited | Cessation of voluntary escrow of securities | Not applicable | 269,905,533 fully paid ordinary shares | 269,905,533 |
3. Changes in association
The persons who have become associates (3) of, ceased to be associates of, or have changed the nature of their association (7) with, the substantial holder in relation to voting interests in the company or scheme are as follows:
Name and ACN/ARSN (if applicable) | Nature of association |
Not applicable | Not applicable |
4. Addresses
The addresses of persons named in this form are as follows:
Name | Address |
Alterity Therapeutics Limited | Level 3, 460 Bourke Street, Melbourne VIC 3000 |
Signature
print name | Phillip Hains | capacity | Company Secretary |
sign here |
|
date |
4/6/2019
|
DIRECTIONS
(1) | If there are a number of substantial holders with similar or related relevant interests (eg. A corporation and its related corporations, or the manager and trustee of an equity trust), the names could be included in an annexure to the form. If the relevant interests of a group of persons are essentially similar, they may be referred to throughout the form as a specifically named group if the membership of each group, with the names and addresses of members is clearly set out in paragraph 4 of the form. |
(2) | See the definition of "relevant interest" in sections 608 and 671B(7) of the Corporations Act 2001. |
(3) | See the definition of "associate" in section 9 of the Corporations Act 2001. |
(4) | Include details of: |
(a) | any relevant agreement or other circumstances because of which the change in relevant interest occurred. If subsection 671B(4) applies, a copy of any document setting out the terms of any relevant agreement, and a statement by the person giving full and accurate details of any contract, scheme or arrangement, must accompany this form, together with a written statement certifying this contract, scheme or arrangement; and |
(b) | any qualification of the power of a person to exercise, control the exercise of, or influence the exercise of, the voting powers or disposal of the securities to which the relevant interest relates (indicating clearly the particular securities to which the qualification applies). |
See the definition of "relevant agreement" in section 9 of the Corporations Act 2001.
(5) | Details of the consideration must include any and all benefits, money and other, that any person from whom a relevant interest was acquired has, or may, become entitled to receive in relation to that acquisition. Details must be included even if the benefit is conditional on the happening or not of a contingency. Details must be included of any benefit paid on behalf of the substantial holder or its associate in relation to the acquisitions, even if they are not paid directly to the person from whom the relevant interest was acquired. |
(6) | The voting shares of a company constitute one class unless divided into separate classes. |
(7) | Give details, if appropriate, of the present association and any change in that association since the last substantial holding notice. |