0000899243-17-000113.txt : 20170103
0000899243-17-000113.hdr.sgml : 20170103
20170103184711
ACCESSION NUMBER: 0000899243-17-000113
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161229
FILED AS OF DATE: 20170103
DATE AS OF CHANGE: 20170103
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: UNIVERSAL BIOSENSORS INC
CENTRAL INDEX KEY: 0001279695
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 980424072
STATE OF INCORPORATION: DE
BUSINESS ADDRESS:
STREET 1: 1 CORPORATE AVENUE
STREET 2: ROWVILLE
CITY: VICTORIA
STATE: C3
ZIP: 3178
BUSINESS PHONE: 613-9213-9000
MAIL ADDRESS:
STREET 1: 1 CORPORATE AVENUE
STREET 2: ROWVILLE
CITY: VICTORIA
STATE: C3
ZIP: 3178
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hodges Alastair
CENTRAL INDEX KEY: 0001397489
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-52607
FILM NUMBER: 17503201
MAIL ADDRESS:
STREET 1: 103 RICKETTS ROAD
STREET 2: MT. WAVERLEY
CITY: VICTORIA
STATE: C3
ZIP: 3149
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-12-29
0
0001279695
UNIVERSAL BIOSENSORS INC
UBI
0001397489
Hodges Alastair
1 CORPORATE AVENUE
ROWVILLE
VICTORIA
C3
3178
AUSTRALIA
0
1
0
0
Chief Scientist
Restricted Shares of Common Stock
2016-12-29
4
A
0
3030
0.00
A
2846615
D
Stock Option (Right to Buy)
0.00
2022-01-29
Common Stock
40000
40000
D
Stock Option (Right to Buy
0.00
2020-12-11
Common Stock
40000
40000
D
Stock Option (Right to Buy)
0.00
2019-11-12
Common Stock
25000
25000
D
Stock Option (Right to Buy)
0.00
2018-11-17
Common Stock
25000
25000
D
Stock Option (Right to Buy)
0.00
2017-11-10
Common Stock
25000
25000
D
Stock Option (Right to Buy)
1.72
2019-11-09
Common Stock
100000
100000
D
Stock Option (Right to Buy)
0.00
2019-06-28
Common Stock
105000
105000
D
Stock Option (Right to Buy)
0.00
2019-05-14
Common Stock
16667
16667
D
Stock Option (Right to Buy)
0.89
2018-03-16
Common Stock
100000
100000
D
Stock Option (Right to Buy)
1.18
2017-03-22
Common Stock
36000
36000
D
The issue price reported is stated in Australian dollars.
13,333 stock options vested and became exercisable on 12/31/2015, 13,333 stock options vest and become exercisable on 12/31/2016, and 13,334 stock options vest and become exercisable on 12/31/2017.
13,333 stock options vested and became exercisable on 12/31/2014, 13,333 stock options vested and became exercisable on 12/31/2015, and 13,334 stock options vest and become exercisable on 12/31/2016.
8,333 stock options vested and became exercisable on 12/31/2013, 8,333 stock options vested and became exercisable on 12/31/2014, and 8,334 stock options vest and become exercisable on 12/31/2015.
8,333 stock options vested and became exercisable on 12/31/2012, 8,333 stock options vested and became exercisable on 12/31/2013, and 8,334 stock options vested and became exercisable on 12/31/2014.
8,333 stock options vested and became exercisable on 12/31/2011, 8,333 stock options vested and became exercisable on 12/31/2012, and 8,334 stock options vested and became exercisable on 12/31/2013
1/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012.
10,000 stock options vested and became exercisable on 12/31/2010, 21,666 stock options vested and became exercisable on 12/31/2011, 35,000 stock options vested and became exercisable on 12/31/2012, 25,000 stock options vest and become exercisable on 12/31/2013, and 13,334 stock options vest and become exercisable on 12/31/2014.
8,333 stock options vested and became exercisable on 12/31/2009 and were exercised on February 10, 2010. 8,333 stock options vested and became exercisable on 12/31/2010 and the remaining stock options vested and became exercisable on 12/31/11
1/3 of the stock options vested and became exercisable on 12/31/2008. 1/3 of the stock options vested and became exercisable on 12/31/2009. The remaining stock options vested and became exercisable on 12/31/2010
The stock options vested and became exercisable in three equal tranches on 12/31/2007, 12/31/2008, and 12/31/2009.
Includes (i) 2,834,698 shares in the form of CDIs Dr. Hodges holds directly and (ii) 8,887 restricted fully paid shares.
/s/ Cameron Billingsley, Attorney-in-Fact
2017-01-03