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 February, 2020

Commission File Number                         

 

 

Kazia Therapeutics Limited

(Translation of registrant’s name into English)

 

 

Three International Towers Level 24 300 Barangaroo Avenue Sydney NSW 2000

(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):  ☐

Note: Regulation S-T Rule 101(b)(1) only permits the submission in paper of a Form 6-K if submitted solely to provide an attached annual report to security holders.

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):  ☐

Note: Regulation S-T Rule 101(b)(7) only permits the submission in paper of a Form 6-K if submitted to furnish a report or other document that the registrant foreign private issuer must furnish and make public under the laws of the jurisdiction in which the registrant is incorporated, domiciled or legally organized (the registrant’s “home country”), or under the rules of the home country exchange on which the registrant’s securities are traded, as long as the report or other document is not a press release, is not required to be and has not been distributed to the registrant’s security holders, and, if discussing a material event, has already been the subject of a Form 6-K submission or other Commission filing on EDGAR.

Indicate by check mark if the registrant by furnishing the information contained in this form 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)

 

 

 


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.

Kazia Therapeutics Limited (Registrant)

Kate Hill

Kate Hill

Company Secretary

Date 24 February 2020


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 30/09/01 Amended 01/01/11

 

Name of entity Kazia Therapeutics Limited (“Kazia”)
ABN 37 063 259 754

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    Dr James Garner
Date of last notice    2 December 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

 

   20 February 2020

No. of securities held prior to change

 

  

185,000 shares

 

800,000 unlisted options

 

Class

 

   Ordinary shares

Number acquired

 

   15,000 ordinary shares

Number disposed

 

   N/A

 

+ See chapter 19 for defined terms.     

 

01/01/2011 Appendix 3Y Page 1

  


Appendix 3Y

Change of Director’s Interest Notice

 

 

 

Value/Consideration

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

 

   15,000 ordinary shares at 63.5c per share
No. of securities held after change   

200,000 ordinary shares

 

800,000 unlisted options

 

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

 

   

Nature of interest

 

   

Name of registered holder

(if issued securities)

 

   

Date of change

 

   

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

   

 

+ See chapter 19 for defined terms.     

 

Appendix 3Y Page 2

  

 

01/01/2011


Appendix 3Y

Change of Director’s Interest Notice

 

 

 

Interest acquired

 

   

Interest disposed

 

   

Value/Consideration

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

 

   

Interest after change

 

   

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?     

 

+ See chapter 19 for defined terms.     

 

01/01/2011 Appendix 3Y Page 3

  


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 30/09/01 Amended 01/01/11

 

Name of entity Kazia Therapeutics Limited (“Kazia”)
ABN 37 063 259 754

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    Steven Coffey
Date of last notice    19 November 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

 

   Indirect

Nature of indirect interest

(including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

   Fortune 501 Pty Limited (S R Coffey Superfund)

Date of change

 

   20 February 2020

No. of securities held prior to change

 

  

241,474 shares

 

5,875 unlisted options with exercise price of $4.0 per option, expiring 4/06/2020

 

Class

 

   Ordinary shares

Number acquired

 

   10,000 shares

Number disposed

 

   N/A

 

+ See chapter 19 for defined terms.     

 

01/01/2011 Appendix 3Y Page 1

  


Appendix 3Y

Change of Director’s Interest Notice

 

 

 

Value/Consideration

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

 

   10,000 ordinary shares at 61.03c per share
No. of securities held after change   

251,474 ordinary shares

 

5,875 unlisted options with exercise price of $4.0 per option, expiring 4/06/2020

 

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

 

   

Nature of interest

 

   

Name of registered holder

(if issued securities)

 

   

Date of change

 

   

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

   

 

+ See chapter 19 for defined terms.     

 

Appendix 3Y Page 2

  

 

01/01/2011


Appendix 3Y

Change of Director’s Interest Notice

 

 

 

Interest acquired

 

   

Interest disposed

 

   

Value/Consideration

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

 

   

Interest after change

 

   

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?     

 

+ See chapter 19 for defined terms.     

 

01/01/2011 Appendix 3Y Page 3