SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 6-K

 

REPORT OF FOREIGN PRIVATE ISSUER

PURSUANT TO RULE 13a-16 OR 15d-163

UNDER THE SECURITIES EXCHANGE ACT OF 1934

 

For the month of February 2024

 

Alterity Therapeutics Limited

(Name of Registrant)

 

Level 14, 350 Collins Street, Melbourne, Victoria 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  ☐

 

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. 333-274816, 333-251647, 333-231417 and 333-250076)

 

 

 

 

 

 

ALTERITY THERAPEUTICS LIMITED

(a development stage enterprise)

 

The following exhibits are submitted:

 

99.1  

Notification regarding unquoted 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
   
  By:  /s/ Geoffrey P. Kempler
    Geoffrey P. Kempler
    Chairman

 

Date: February 2, 2024

 

 

2

 

Exhibit 99.1

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Announcement Summary

 
   

 

Entity name

ALTERITY THERAPEUTICS LIMITED

 

Date of this announcement

Friday February 02, 2024

 

The +securities the subject of this notification are:

+Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX

 

Total number of +securities to be issued/transferred

 

ASX +security code   Security description   Total number of
+securities to be
issued/transferred
    Issue date
ATHAAI   OPTION EXPIRING 31-AUG-2024 EX $0.007     571,428,556     02/02/2024

 

Refer to next page for full details of the announcement

 

Notification of Issue, Conversion or Payment up of Unquoted 1 / 5 

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 1 - Entity and announcement details  
   

 

1.1 Name of entity

ALTERITY THERAPEUTICS LIMITED

 

We (the entity named above) give notice of the issue, conversion or payment up of the following unquoted +securities.

 

1.2 Registered number Type   Registration number
ACN   080699065

 

1.3 ASX issuer code

ATH

 

1.4 The announcement is

New announcement

 

1.5 Date of this announcement

2/2/2024

 

Notification of Issue, Conversion or Payment up of Unquoted 2 / 5 

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 2 - Issue details  
   

 

2.1 The +securities the subject of this notification are:

+Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B that are not quoted, and are not intended to be quoted, on ASX

 

Announcement Date and Time   Announcement Title   Selected Appendix 3B to submit quotation request
22-Nov-2023 09:55   New - Proposed issue of securities - ATH   A placement or other type of issue

 

2.3a.2 Are there any further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B?

No

 

Notification of Issue, Conversion or Payment up of Unquoted 3 / 5 

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 3A - number and type of +securities the subject of this notification (existing class or new class) where issue has previously been notified to ASX in an Appendix 3B  
   

 

Placement Details

 

ASX +security code and description

ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007

 

Date the +securities the subject of this notification were issued

2/2/2024

 

Any other information the entity wishes to provide about the +securities the subject of this notification

Short-Dated Options issued per Securities Purchase Plan result announced 2 February 2024

 

Issue details

 

Number of +securities

571,428,556

 

Were the +securities issued for a cash consideration?

No

 

Please describe the consideration being provided for the +securities

One (1) free attaching short-dated option per one (1) share issued under SPP per Prospectus issued 29 December 2023

 

Notification of Issue, Conversion or Payment up of Unquoted 4 / 5 

 

 

Notification of Issue, Conversion or Payment up of Unquoted Equity Securities

 

Part 4 - +Securities on issue

 
   

 

Following the issue, conversion or payment up of the +securities the subject of this application, the +securities of the entity will comprise:

 

(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)

 

4.1 Quoted +Securities (Total number of each +class of +securities quoted)

 

ASX +security code and description  Total number of
+securities on issue
 
ATH : ORDINARY FULLY PAID   3,811,326,185 
ATHO : OPTION EXPIRING 31-AUG-2026   

457,142,830

 

 

4.2 Unquoted +Securities (Total number of each +class of +securities issued but not quoted on ASX)

 

ASX +security code and description   Total number of
+securities on issue
 
ATHAAI : OPTION EXPIRING 31-AUG-2024 EX $0.007     1,942,857,123  
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     11,900,000  
ATHAAB : OPTION EXPIRING 17-SEP-2025 EX $0.09     35,000,000  
ATHAAH : OPTION EXPIRING 19-DEC-2026 EX $0.0105     8,000,000  
ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032     91,392,720  

 

Notification of Issue, Conversion or Payment up of Unquoted 5 / 5