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 2023

 

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  

Notification of cessation of securities – ATH

 

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: February 2, 2023

 

 

2

 

Exhibit 99.1 

 

Notification of cessation of +securities

 

Announcement Summary  
   

 

Entity name

ALTERITY THERAPEUTICS LIMITED

 

Announcement Type

New announcement

 

Date of this announcement

Wednesday February 01, 2023

 

Details of +securities that have ceased

 

ASX +security code   Security description  

Number of

+securities that have ceased

 

The +securities have
ceased due to

  Date of cessation
ATHAI   OPTION EXPIRING 31-JAN-2023 EX $0.083   700,000   Expiry of option or other convertible security without exercise or conversion   31/01/2023

 

Refer to next page for full details of the announcement 

 

Notification of cessation of +securities

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Notification of cessation of +securities

 

Part 1 - Announcement Details  
   

 

1.1 Name of +Entity

ALTERITY THERAPEUTICS LIMITED

 

We (the entity named above) provide the following information about our issued capital.

 

1.2 Registered Number Type Registration Number
ABN 37080699065

 

1.3 ASX issuer code

ATH

 

1.4 The announcement is
New announcement

 

1.5 Date of this announcement

1/2/2023 

 

Notification of cessation of +securities

2/4

 

 

 

Notification of cessation of +securities

 

Part 2 - Details of +equity securities or +debt securities that have ceased  
   

 

ASX +Security Code and Description

ATHAI : OPTION EXPIRING 31-JAN-2023 EX $0.083

 

Unquoted +equity securities that have ceased

 

Number of securities that have ceased

700,000

 

Reason for cessation

Expiry of option or other convertible security without exercise or conversion

 

Date of cessation

Is the entity paying any consideration for the cessation?
31/1/2023 No

 

Any other information the entity wishes to notify to ASX about the cessation? 

 

  

Notification of cessation of +securities

3/4

 

 

 

Notification of cessation of +securities

 

Part 3 - Issued capital following changes  
   

 

Following the cessation of the +securities the subject of this notification, the issued capital of the entity will comprise:

 

3.1 Quoted +equity securities and +debt securities (total number of each +class of +securities quoted on ASX)

 

ASX +security code and description   Total number of
+securities on issue
     
ATH : ORDINARY FULLY PAID   2,416,418,418

 

3.2 Unquoted +equity securities (total number of each +class of +equity securities issued but not quoted on ASX)

 

  Total number of
ASX +security code and description   +securities on issue
     
ATHAI : OPTION EXPIRING 31-JAN-2023 EX $0.083    0
     
ATHAAE : OPTION EXPIRING 29-NOV-2026 EX $0.0375   19,250,000
     
ATHAAF : OPTION EXPIRING 31-JUL-2024 EX $0.07   12,000,000
     
ATHAAG : OPTION EXPIRING 29-NOV-2026 EX $0.0238   13,900,000
     
ATHAAB : OPTION EXPIRING 17-SEP-2025 EX $0.09   35,000,000
     
ATHAAC : OPTION EXPIRING 23-NOV-2023 EX $0.07   674,694,939
     
ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032   91,392,720

  

Note: the figures stated in the tables above are used to calculate the total market capitalisation of the entity published by ASX from time to time. The table will not include those classes of +securities that have ceased or lapsed in their entirety in ASX records before the announcement date described in Q1.5, even if the entity has advised ASX of a change to that class of +security in Part 2 of this form.

 

 

Notification of cessation of +securities 4/4