0001213900-20-014771.txt : 20200612 0001213900-20-014771.hdr.sgml : 20200612 20200612084253 ACCESSION NUMBER: 0001213900-20-014771 CONFORMED SUBMISSION TYPE: 6-K PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20200612 FILED AS OF DATE: 20200612 DATE AS OF CHANGE: 20200612 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Immuron Ltd CENTRAL INDEX KEY: 0001660046 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: C3 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 6-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-38104 FILM NUMBER: 20958954 BUSINESS ADDRESS: STREET 1: 62 LYGON STREET STREET 2: LEVEL 3 CITY: CARLTON, VICTORIA STATE: C3 ZIP: 3053 BUSINESS PHONE: 61 03 9824 5254 MAIL ADDRESS: STREET 1: 62 LYGON STREET STREET 2: LEVEL 3 CITY: CARLTON, VICTORIA STATE: C3 ZIP: 3053 6-K 1 ea122993-6k_immuronlimited.htm REPORT OF FOREIGN PRIVATE ISSUER

 

 

UNITED STATES

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 2020

 

Commission File Number: 001-38104

 

IMMURON LIMITED

(Name of Registrant)

 

Level 3, 62 Lygon Street, Carlton South, Victoria, 3053, 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 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

 

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

 

 

 

 

 

 

IMMURON LIMITED

 

EXPLANATORY NOTE

 

Immuron Limited (the “Company”) published one announcement (the “Public Notices”) to the Australian Securities Exchange on June 12, 2020 titled:

 

-“Change of Director’s Interest Notice (DP)”

 

A copy of the Public Notice is attached as an exhibit to this report on Form 6-K.

 

This report on Form 6-K (including the exhibit hereto) shall not be deemed to be “filed” for purposes of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) and shall not be incorporated by reference into any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing.

 

EXHIBITS

 

Exhibit
Number
 
Description
     
99.1   Change of Director’s Interest Notice (DP)

 

1

 

 

SIGNATURE

 

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.

 

  IMMURON LIMITED
   
 
   
Date:  June 12, 2020 By: /s/ Phillip Hains
    Phillip Hains
    Company Secretary

 

 

2

 

EX-99.1 2 ea122993ex99-1_immuron.htm CHANGE OF DIRECTOR'S INTEREST NOTICE (DP)

Exhibit 99.1

 

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.         Amended 01/01/11

 

Name of Entity: Immuron Limited (ASX:IMC)
ABN: 80 063 114 045

 

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: Daniel Pollock
Date of Last Notice: 21 June 2019

 

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

 

 

11 June 2020

           
No. of securities held prior to change   Shares Options  
  Direct 374,800* 1,134,800*  
  Indirect 145,000 -  
  Total 519,800 1,134,800  
  * Securities include American Depository Securities (ADSs) and Warrants.  

Class

 

Fully paid ordinary shares

           
Number acquired     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           
Number disposed     Shares Options  
    Direct 100,000 -  
    Indirect - -  
    Total 100,000 -  
           

 

+ See chapter 19 for defined terms.

01/01/2011Appendix 3Y Page 1

 

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

 

Value/Consideration

Note:

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

A$0.4048 per share
           
No. of securities held after change     Shares Options  
    Direct 274,8001 74,8002  
    Indirect 145,000 -  
    Total 419,800 74,800  
 

1. Securities include American Depository Securities (ADSs).

2. 74,800 Options (1,870 Warrants) exercisable on or before 13 June 2022.

(Note: 1,060,000 options lapsed in November 2019)

Nature of change

Example:

on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

On-Market Trade

 

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

 

N/A

Nature of interest

 

N/A

Name of registered holder (if issued securities)

 

N/A

Date of change

 

N/A

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

N/A

Interest acquired

 

N/A

Interest disposed

 

N/A

Value/Consideration

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

N/A

Interest after change

 

N/A

 

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

 

 

+ See chapter 19 for defined terms.

01/01/2011Appendix 3Y Page 2

 

 

 

 

 

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