EX-99.1 2 ea020869201ex99-1_alterity.htm NOTIFICATION REGARDING UNQUOTED SECURITIES - ATH

Exhibit 99.1

 

Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

Announcement Summary

 

 

 

Entity name

 

ALTERITY THERAPEUTICS LIMITED

 

Date of this announcement

 

Friday June 28, 2024

 

The +securities the subject of this notification are:

 

+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX

 

Total number of +securities to be issued/transferred

 

ASX +security code  Security description  Total number of +securities to be issued/transferred   Issue date 
New class - code to be confirmed  OPTION EXPIRING 13-MAR-2029 EX $0.004   26,500,000    27/06/2024 
New class - code to be confirmed  OPTION EXPIRING 13-MAR-2029 EX US$0.0031   62,500,000    27/06/2024 
New class - code to be confirmed  OPTION EXPIRING 21-MAR-2029 EX US$0.0030   120,000,000    27/06/2024 

 

Refer to next page for full details of the announcement

 

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

Part 1 - Entity and announcement details

 

 

 

1.1Name of entity

 

ALTERITY THERAPEUTICS LIMITED

 

We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.

 

1.2 Registered number type   Registration number
     
ACN   080699065

 

1.3ASX issuer code

 

ATH

 

1.4The announcement is

 

New announcement

 

1.5Date of this announcement

 

28/6/2024

 

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

Part 2 - Issue details

 

 

 

2.1The +securities the subject of this notification are:

 

+Other securities issued under an +employee incentive scheme that are not intended to be quoted on ASX

 

2.2 a This notification is given in relation to an issue of +securities in a class which is not quoted on ASX and which:

 

does not have an existing ASX security code (“new class”)

 

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Part 3C - number and type of +securities the subject of this notification (new class)

 

 

 

ASX +security code   +Security description
     
New class - code to be confirmed   OPTION EXPIRING 13-MAR-2029 EX $0.004
     
+Security type   ISIN code
     
Options    

 

Date the +securities the subject of this notification were issued

 

27/6/2024

 

Will all the +securities issued in this class rank equally in all respects from their issue date?

 

Yes

 

Were any of the +securities issued to +key management personnel (KMP) or an +associate?

 

No

 

Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?

 

No

 

Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.

 

Options Details

 

+Security currency Exercise price Expiry date
     
AUD - Australian Dollar AUD 0.00400000 13/3/2029

 

Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option

 

ATH : ORDINARY FULLY PAID

 

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms

 

https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02581610-3A604443

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

Issue details

 

Number of +securities

 

26,500,000

 

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

ASX +security code   +Security description
     
New class - code to be confirmed   OPTION EXPIRING 13-MAR-2029 EX US$0.0031
     
+Security type   ISIN code
     
Options    

 

Date the +securities the subject of this notification were issued

 

27/6/2024

 

Will all the +securities issued in this class rank equally in all respects from their issue date?

 

Yes

 

Were any of the +securities issued to +key management personnel (KMP) or an +associate?

 

No

 

Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?

 

No

 

Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.

 

https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02581610-3A604443

 

Options Details

 

+Security currency Exercise price Expiry date
     
USD - US Dollar USD 0.00310000 13/3/2029

 

Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option

 

ATH : ORDINARY FULLY PAID

 

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms

 

https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02581610-3A604443

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

Issue details

 

Number of +securities

 

62,500,000

 

ASX +security code   +Security description
     
New class - code to be confirmed   OPTION EXPIRING 13-MAR-2029 EX US$0.0030
     
+Security type   ISIN code
     
Options    

 

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

Date the +securities the subject of this notification were issued

 

27/6/2024

 

Will all the +securities issued in this class rank equally in all respects from their issue date?

 

Yes

 

Were any of the +securities issued to +key management personnel (KMP) or an +associate?

 

Yes

 

Provide details of the KMP or +associates being issued +securities.

 

Name of KMP Name of registered holder Number of +securities
     
David Stamler David Stamler 120,000,000

 

Have you received confirmation from ASX that the terms of the +securities are appropriate and equitable under listing rule 6.1?

 

No

 

Please provide a URL link for a document lodged with ASX setting out the material terms of the +securities being issued.

 

Options Details

 

+Security currency Exercise price Expiry date
     
USD - US Dollar USD 0.00300000 21/3/2029

 

Details of the existing class of +security that will be issued upon exercise or conversion of this new class of company option

 

ATH : ORDINARY FULLY PAID

 

Please provide a URL link for a document lodged with ASX detailing the terms of the +employee incentive scheme or a summary of the terms

 

https://cdn-api.markitdigital.com/apiman-gateway/ASX/asx-research/1.0/file/2924-02581610-3A604443

 

Any other information the entity wishes to provide about the +securities the subject of this notification

 

Issue details

 

Number of +securities

 

120,000,000

 

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Appendix 3G - Notification of issue, conversion or payment up of unquoted equity securities

 

Part 4 - +Securities on issue

 

 

 

Following the issue, conversion or payment up of the +securities the subject of this notification, the +securities of the entity will comprise:

 

The figures in parts 4.1 and 4.2 below are automatically generated and may not reflect the entity’s current issued capital if other Appendix 2A, Appendix 3G or Appendix 3H forms are currently with ASX for processing.

 

4.1Quoted +securities (Total number of each +class of +securities issued and quoted on ASX)

 

ASX +security code and description  Total
number of
+securities on issue
 
     
ATH : ORDINARY FULLY PAID   5,245,115,318 
ATHO : OPTION EXPIRING 31-AUG-2026   932,706,668 

 

4.2Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX)

 

ASX +security code and description 

Total
number of
+securities
on issue

 
ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007   1,935,759,704 
ATHAAE : OPTION EXPIRING 29-NOV-2026 EX $0.0375   14,250,000 
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 
New class - code to be confirmed : OPTION EXPIRING 13-MAR-2029 EX $0.004   26,500,000 
New class - code to be confirmed : OPTION EXPIRING 13-MAR-2029 EX US$0.0031   62,500,000 
New class - code to be confirmed : OPTION EXPIRING 21-MAR-2029 EX US$0.0030   120,000,000 

 

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Part 5 - Other Listing Rule requirements

 

 

 

5.1Were the +securities issued under an exception in Listing Rule 7.2 and therefore the issue did not need any security holder approval under Listing Rule 7.1?

 

Yes

 

5.1a Select the number of the applicable exception in Listing Rule 7.2

 

13

 

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