6-K 1 d83165d6k.htm FORM 6-K Form 6-K

 

 

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 December, 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 17 December 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    Steven Coffey
Date of last notice    10 November 2020

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)

 

Steven Coffey

Date of change

 

   16 & 17 December 2020

No. of securities held prior to change

 

  

402,500 shares (indirect)

 

400,000 unlisted options (direct)

 

Class

 

   Ordinary shares

Number acquired

 

  

8,500 ordinary shares (indirect)

 

8,015 shares (direct)

 

Number disposed

 

    

 

+ 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

 

  

8,500 ordinary shares at an average price of $1.24 per share

 

8,015 ordinary shares at $1.225 per share

 

No. of securities held after change   

411,000 ordinary shares (indirect)

8,015 ordinary shares (direct)

 

400,000 unlisted options (direct)

 

Nature of change

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

 

   Purchased on market

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

 

   

 

+ See chapter 19 for defined terms.     

 

Appendix 3Y Page 2

  

 

01/01/2011


Appendix 3Y

Change of Director’s Interest Notice

 

 

 

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

   

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