0001144204-17-065710.txt : 20171229 0001144204-17-065710.hdr.sgml : 20171229 20171229073348 ACCESSION NUMBER: 0001144204-17-065710 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171222 FILED AS OF DATE: 20171229 DATE AS OF CHANGE: 20171229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VF High Conviction Fund CENTRAL INDEX KEY: 0001679282 STATE OF INCORPORATION: C3 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52607 FILM NUMBER: 171279775 BUSINESS ADDRESS: STREET 1: 31 CARRINGTON STREET CITY: NEDLANDS STATE: C3 ZIP: 6009 BUSINESS PHONE: 61 (0)8 6430 9852 MAIL ADDRESS: STREET 1: 31 CARRINGTON STREET CITY: NEDLANDS STATE: C3 ZIP: 6009 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 4 1 tv482296_4.xml OWNERSHIP DOCUMENT X0306 4 2017-12-22 0 0001279695 UNIVERSAL BIOSENSORS INC UBI 0001679282 VF High Conviction Fund 31 CARRINGTON STREET NEDLANDS C3 6009 AUSTRALIA 0 0 1 0 Common Stock 2017-12-22 4 P 0 33613 0.269 A 10577064 D Common Stock 2017-12-27 4 P 0 56245 0.289 A 10633309 D Common Stock 2017-12-28 4 P 0 50374 0.294 A 10683683 D Common Stock 2017-12-29 4 P 0 750318 0.300 A 11434001 D Traded as Chess Depository Interests ("CDIs") on the Australian Stock Exchange. CDIs represent beneficial interests in the common stock held by CHESS Depository Nominees Pty Ltd. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.265 to $0.270, inclusive. The Reporting Person undertakes to provide to Universal Biosensors, Inc. ("UBI"), any security holder of UBI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.275 to $0.300, inclusive. The Reporting Person undertakes to provide to Universal Biosensors, Inc. ("UBI"), any security holder of UBI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.290 to $0.300, inclusive. The Reporting Person undertakes to provide to Universal Biosensors, Inc. ("UBI"), any security holder of UBI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions all at a price of $0.300. The Reporting Person undertakes to provide to Universal Biosensors, Inc. ("UBI"), any security holder of UBI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4. The price per share of the common stock reported is stated in Australian dollars, as converted from a U.S. dollar price on the date of the transaction. The common stock is directly held by VF High Conviction Fund ("Conviction Fund") and indirectly held by Viburnum Funds Pty Ltd ("Viburnum"), the manager of Conviction Fund, and the individual directors of Viburnum (Viburnum and the individual directors together, the "Viburnum Indirect Reporting Persons"). The individual directors of Viburnum are Craig Coleman, Marshall Allen, Anthony Howarth and Melissa Karlson. The Viburnum Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the Conviction Fund common stock in which the Viburnum Indirect Reporting Persons have no pecuniary interest. /s/ David St. Quintin, as attorney-in-fact for VF High Conviction Fund and Viburnum Funds Pty Ltd 2017-12-29