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 2022

 

Alterity Therapeutics Limited

(Name of Registrant)

 

Level 3, 460 Bourke Street, Melbourne, VIC 3000, 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- _____

 

This Form 6-K is being incorporated by reference into our Registration Statement on Form S-8 (Files No. 333-251073, 333-248980 and 333-228671) and our Registration Statements on Form F-3 (Files No. 333-251647, 333-249311, 333-231417 and 333-250076)

 

 

 

 

 

 

ALTERITY THERAPEUTICS LIMITED

(a development stage enterprise)

 

The following exhibits are submitted:

 

99.1   Change of Director’s Interest Notice x 4

 

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.

 

  Alterity Therapeutics Limited
   
  /s/ Geoffrey P. Kempler
  By:

Geoffrey P. Kempler

    Chairman

 

Date: December 15, 2022

 

 

2

 

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: Alterity Therapeutics Limited (ASX:ATH)
ABN: 37 080 699 065

 

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: Mr. Geoffrey Kempler
Date of Last Notice: 21 September 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 Direct

Nature of indirect interest (including registered holder)

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

 Director related entity
Date of change 14 December 2022
No. of securities held prior to change  
    Shares Options  
Direct 30,000 19,000,000
Indirect 17,981,000 -
Total 18,011,000 19,000,000
Class Unlisted Options
Number acquired  
    Shares Options  
Direct - -
Indirect - -
Total - -
 
Number disposed  
    Shares Options  
Direct - 5,000,000
Indirect - -
Total - 5,000,000

Value/Consideration

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

 n/a

 

+ See chapter 19 for defined terms.    
11/3/2022   Appendix 3Y Page 1
     

 

 

Appendix 3Y
Change of Director’s Interest Notice

 

 

No. of securities held after change      
  Shares Options
Direct 30,000 14,000,000
Indirect 17,981,000 -
Total 18,011,000 14,000,000

Nature of change

Example: on-market trade, off-market trade, exercise

of options, issue of securities under dividend reinvestment plan, participation in buy-back

 Expiry of incentive options under ESOP

 

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

  
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? N/A

 

  The CFO Solution  

 

+ See chapter 19 for defined terms.    
Appendix 3Y Page 2   01/01/2011
     

 

 

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: Alterity Therapeutics Limited (ASX:ATH)
ABN: 37 080 699 065

 

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: Mr. Peter Marks
Date of Last Notice: 21 September 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 Direct

Nature of indirect interest (including registered holder)

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

 -
Date of change 14 December 2022
No. of securities held prior to change  
    Shares Options  
Direct - 8,250,000
Indirect 43,111 -
Total 43,111 8,250,000
Class Unlisted Options
Number acquired  
    Shares Options  
Direct - -
Indirect - -
Total - -
Number disposed  
    Shares Options  
Direct - 1,250,000
Indirect - -
Total - 1,250,000

Value/Consideration

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

 n/a

 

+ See chapter 19 for defined terms.    
01/01/2011   Appendix 3Y Page 3
     

 

 

Appendix 3Y
Change of Director’s Interest Notice

 

 

No. of securities held after change      
  Shares Options
Direct - 7,000,000
Indirect 43,111 -
Total 43,111 7,000,000

Nature of change

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

 Expiry of incentive options under ESOP

 

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

  
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? N/A

 

  The CFO Solution  

 

+ See chapter 19 for defined terms.    
Appendix 3Y Page 4   01/01/2011
     

 

 

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: Alterity Therapeutics Limited                                  (ASX:ATH)
ABN: 37 080 699 065

 

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: Mr. Brian Meltzer
Date of Last Notice: 21 September 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 Direct

Nature of indirect interest (including registered holder)

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

 -
Date of change 14 December 2022
No. of securities held prior to change  
    Shares Options  
Direct - 8,250,000
Indirect 326,666 -
Total 326,666 8,250,000
Class Unlisted Options
Number acquired  
    Shares Options  
Direct - -
Indirect - -
Total - -
 
Number disposed  
    Shares Options  
Direct - 1,250,000
Indirect - -
Total - 1,250,000

 

+ See chapter 19 for defined terms.    
11/3/2002   Appendix 3Y Page 5
     

 

 

Appendix 3Y
Change of Director’s Interest Notice

 

 

Value/Consideration

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

 n/a
No. of securities held after change  
    Shares Options  
Direct - 7,000,000
Indirect 326,666 -
Total 326,666 7,000,000

Nature of change

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

 Expiry of incentive options under ESOP

 

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

  
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? N/A

 

  The CFO Solution  

 

+ See chapter 19 for defined terms.    
Appendix 3Y Page 6   01/01/2011
     

 

 

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: Alterity Therapeutics Limited                     (ASX:ATH)
ABM: 37 080 699 065

 

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: Mr. Lawrence Gozlan
Date of Last Notice: 21 September 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 Direct

Nature of indirect interest (including registered holder)

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

 -
Date of change 14 December 2022
No. of securities held prior to change  
    Shares Options  
Direct - 8,250,000
Indirect - -
Total - 8,250,000
Class Unlisted Options
Number acquired  
    Shares Options  
Direct - -
Indirect - -
Total - -
 
Number disposed  
    Shares Options  
Direct - 1,250,000
Indirect - -
Total - 1,250,000

 

+ See chapter 19 for defined terms.    
01/01/2011   Appendix 3Y Page 7
     

 

 

Appendix 3Y
Change of Director’s Interest Notice

 

 

Value/Consideration

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

 n/a
No. of securities held after change  
    Shares Options  
Direct - 7,000,000
Indirect - -
Total - 7,000,000

Nature of change

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

 Expiry of incentive options under ESOP

 

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

  
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? N/A

 

  The CFO Solution  

 

+ See chapter 19 for defined terms.    
Appendix 3Y Page 8   01/01/2011