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 November 2023
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:
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:
November 22, 2023
2
Exhibit 99.1
|
Proposed issue of securities |
Entity name
ALTERITY THERAPEUTICS LIMITED
Announcement Type
New announcement
Date of this announcement
22/11/2023
The Proposed issue is:
An
offer of securities under a securities purchase plan
Total number of +securities proposed to be issued for
an offer of securities under a securities purchase plan
ASX +security code | |
+Security description | |
Maximum Number of +securities to be issued | |
New class-code to be confirmed | |
Short-dated option | |
| 571,428,571 | |
New class-code to be confirmed | |
Long-dated option | |
| 190,476,191 | |
ATH | |
ORDINARY FULLY PAID | |
| 571,428,571 | |
+Record date
21/11/2023
Offer closing date
31/1/2024
+Issue date
7/2/2024
Refer to next page for full details of the announcement
Proposed issue of securities | 1 / 10 |
|
Proposed issue of securities |
Part 1 - Entity and announcement details |
|
|
|
ALTERITY THERAPEUTICS LIMITED
We (the entity named above) give ASX the following
information about a proposed issue of +securities and, if ASX agrees to +quote any of the +securities (including any rights) on a +deferred
settlement basis, we agree to the matters set out in Appendix 3B of the ASX Listing Rules.
If the +securities are being offered under a +disclosure
document or +PDS and are intended to be quoted on ASX, we also apply for quotation of all of the +securities that may be issued under
the +disclosure document or +PDS on the terms set out in Appendix 2A of the ASX Listing Rules (on the understanding that once the final
number of +securities issued under the +disclosure document or +PDS is known, in accordance with Listing Rule 3.10.3C, we will complete
and lodge with ASX an Appendix 2A online form notifying ASX of their issue and applying for their quotation).
1.2 | Registered Number Type |
Registration Number |
ATH
New
announcement
1.5 | Date of this announcement |
22/11/2023
1.6 | The Proposed issue is: |
An
offer of +securities under a +securities purchase plan
Proposed issue of securities | 2 / 10 |
|
Proposed issue of securities |
Part 4 - Details of proposed offer under securities purchase plan |
|
|
|
4A.1 Do any external
approvals need to be obtained or other conditions satisfied before the offer of +securities under the +securities purchase plan issue
can proceed on an unconditional basis?
Yes
4A.1a Conditions
Approval/Condition | |
Date for determination | |
Is the date estimated or actual? |
| ** Approval
received/condition met? |
+Security holder approval | |
29/12/2023 | |
Estimated |
| |
|
Comments
Proposed issue of securities | 3 / 10 |
|
Proposed issue of securities |
Class or classes of +securities that will participate
in the proposed issue and class or classes of +securities proposed to be issued
ASX +security code and description
ATH : ORDINARY FULLY PAID
Will the proposed issue of this +security
include an offer of attaching +securities?
Yes
Details of +securities proposed to
be issued
ASX +security code and
description
ATH : ORDINARY FULLY PAID
Maximum total number of those +securities
that could be issued if all offers under the +securities purchase plan are accepted
571,428,571
Will the offer be conditional on applications
for a minimum number of +securities being received or a minimum amount being raised (i.e. a minimum subscription condition)?
No
Will the offer be conditional on applications
for a maximum number of +securities being received or a maximum amount being raised (i.e. a maximum subscription condition)?
No
Will individual security holders be required
to accept the offer for a minimum number or value of +securities (i.e. a minimum acceptance condition)?
No
Will individual security holders be limited
to accepting the offer for a maximum number or value of +securities (i.e. a maximum acceptance condition)?
Yes
Is the maximum acceptance unit based or
dollar based?
Dollar based ($)
Please enter the maximum acceptance value
$ 30,000
Describe all the applicable parcels available for this offer in number
of securities or dollar value
Parcels are yet to be determined and will be advised in the offer document. |
Proposed issue of securities | 4 / 10 |
|
Proposed issue of securities |
Offer price details
Has the offer price been determined?
Yes
In what currency will the offer be made? |
What is the offer price per +security? |
AUD - Australian Dollar |
AUD 0.00350 |
Oversubscription & Scale back details
Will a scale back be applied if the offer
is over-subscribed?
Yes
Describe the scale back arrangements
The Company reserves the right to scale back applications under the SPP at its discretion, if required. The Company may scale back the number of new shares that will be allotted under the SPP and the Eligible Shareholder may be allocated fewer new shares than the number applied for. If there is a scale back, a proportionate refund to the amount subscribed for will be paid by the Company to the Shareholders shortly after the Closing Date. Interest will not be paid on money refunded. |
Will these +securities rank equally in
all respects from their issue date with the existing issued +securities in that class?
Yes
Attaching +Security
The proposed attaching security can only
be of an ‘Existing class’ (additional +securities in a class that is already quoted or recorded by ASX)
New class
Attaching +Security - New class (+securities in a class that
is not yet quoted or recorded by ASX)
Details of attaching +securities proposed to be issued
ISIN Code (if Issuer is a foreign company and +securities
are non CDIs)
Have you received confirmation from ASX that the terms
of
the proposed +securities are appropriate and
equitable under listing rule 6.1? |
|
Will the entity be seeking quotation of the ‘new’ class of
+securities on ASX? |
No |
|
No |
|
|
|
ASX +security code |
|
+Security description |
New class-code to be confirmed |
|
Short-dated option |
+Security type
Options
Proposed issue of securities | 5 / 10 |
|
Proposed issue of securities |
Offer ratio (ratio of attaching securities
at which the new +securities will be issued)
The quantity of attaching +securities to be issued |
For a given quantity of the new +securities issued |
1 |
1 |
|
|
What will be done with fractional entitlements? |
Maximum total number of those +securities that could be
issued if all offers under the +securities purchase plan
are accepted |
Fractions rounded down to the nearest whole number
or
fractions disregarded |
571,428,571 |
Offer price details
Has the offer price been determined?
No
How and when will the offer price be determined?
Free attaching short-dated option per Placement announcement 22 November 2023. |
Please confirm whether the offer of the
attaching +securities is a separate offer to the offer pursuant to the +security purchase plan
No
Please confirm whether the attaching +securities
are being offered under a +disclosure document or +PDS
Yes
Over subscription & Scale back
details
Will a scale back be applied if the offer
is over-subscribed?
Yes
Describe the scale back arrangements
The Company reserves the right to scale back applications under the SPP at its discretion, if required. The Company may scale back the number of new shares that will be allotted under the SPP and the Eligible Shareholder may be allocated fewer new shares than the number applied for. If there is a scale back, a proportionate refund to the amount subscribed for will be paid by the Company to the Shareholders shortly after the Closing Date. Interest will not be paid on money refunded. |
Will all the +securities issued in this
class rank equally in all respects from their issue date?
Yes
Options details
+Security currency |
|
AUD - Australian Dollar |
|
|
|
Exercise price
AUD 0.0070 |
Expiry date
31/8/2024 |
Details of the type of +security that will
be issued if the option is exercised
ATH : ORDINARY FULLY PAID
Proposed issue of securities | 6 / 10 |
|
Proposed issue of securities |
Number of securities that will be issued if the option is exercised
One ATH ordinary fully paid share |
Please provide a URL link for a document lodged with ASX setting out
the material terms of the +securities proposed to be issued or provide the information by separate announcement.
https://alteritytherapeutics.com/investor-overview/asx-announcements/ |
Details of attaching +securities proposed to be issued
ISIN Code (if Issuer is a foreign company and +securities
are non CDIs)
Have you received confirmation from ASX that the terms
of the proposed +securities
are appropriate and
equitable under listing rule 6.1? |
|
Will the entity be seeking quotation of the ‘new’ class of
+securities on ASX?
|
No |
|
Yes |
|
|
|
ASX +security code |
|
+Security description |
New class-code to be confirmed |
|
Long-dated option |
+Security type
Options
Offer ratio (ratio of attaching securities at which
the new +securities will be issued)
The quantity of attaching +securities to be issued |
For a given quantity of the new +securities issued |
1 |
3 |
What will be done with fractional entitlements? |
Maximum total number of those +securities that could be
issued if all offers under the +securities purchase plan
are accepted |
Fractions rounded down to the nearest whole number or
fractions disregarded |
190,476,191 |
Offer price details
Has the offer price been determined?
No
How and when will the offer price be determined?
One (1) free attaching long-dated option per three (3) shares issued under SPP per Placement announcement 22 November 2023. |
Please confirm whether the offer of the
attaching +securities is a separate offer to the offer pursuant to the +security purchase plan
No
Please confirm whether the attaching +securities
are being offered under a +disclosure document or +PDS
Yes
Proposed issue of securities | 7 / 10 |
|
Proposed issue of securities |
Oversubscription & Scale back details
Will a scale back be applied if the offer
is over-subscribed?
Yes
Describe the scale back arrangements
The Company reserves the right to scale back applications under the SPP at its discretion, if required. The Company may scale back the number of new shares that will be allotted under the SPP and the Eligible Shareholder may be allocated fewer new shares than the number applied for. If there is a scale back, a proportionate refund to the amount subscribed for will be paid by the Company to the Shareholders shortly after the Closing Date. Interest will not be paid on money refunded. |
Will all the +securities issued in this
class rank equally in all respects from their issue date
Yes
Options details
+Security currency
AUD - Australian Dollar
Exercise price |
Expiry date |
AUD 0.0100 |
31/8/2026 |
Details of the type of +security that will
be issued if the option is exercised
ATH : ORDINARY FULLY PAID
Number of securities that will be issued if the option
is exercised
One ATH ordinary fully paid share |
Please provide a URL link for a document lodged with
ASX setting out the material terms of the +securities proposed to be issued or provide the information by separate announcement.
https://alteritytherapeutics.com/investor-overview/asx-announcements/ |
Proposed issue of securities | 8 / 10 |
|
Proposed issue of securities |
4C.1 Date of announcement of +security
purchase plan
22/11/2023
4C.2 +Record date
21/11/2023
4C.3 Date on which offer documents will
be made available to investors
12/1/2024
4C.4 Offer open date
12/1/2024
4C.5 Offer closing date
31/1/2024
4C.7 +Issue date and last day for entity
to announce results of +security purchase plan offer
7/2/2024
Part 4D - Listing Rule requirements |
|
|
|
4D.1 Does the offer under the +securities
purchase plan meet all of the requirements of listing rule 7.2 exception 5 or do you have a waiver from those requirements?
No
4D.1a Are any of the +securities proposed
to be issued without +security holder approval using the entity’s 15% placement capacity under listing rule 7.1?
No
4D.1b Are any of the +securities proposed
to be issued without +security holder approval using the entity’s additional 10% placement capacity under listing rule 7.1A (if applicable)?
No
Proposed issue of securities | 9 / 10 |
|
Proposed issue of securities |
Part 4E - Fees and expenses |
|
|
|
4E.1 Will there be a lead manager or broker
to the proposed offer?
No
4E.2 Is the proposed offer to be underwritten?
No
4E.3 Will brokers who lodge acceptances
or renunciations on behalf of eligible +security holders be paid a handling fee or commission?
No
4E.4 Details of any other material fees or costs to
be incurred by the entity in connection with the proposed offer
Part 4F - Further Information |
|
|
|
4F.01 The purpose(s) for which the entity intends to use the cash
raised by the proposed issue
The use of proceeds from this financing will provide ongoing funding of Alterity’s Phase 2 clinical trials in MSA, planning for a Phase 3 clinical trial, continuing discovery and research efforts and general working capital. |
4F.1 Will the entity be changing its dividend/distribution
policy if the proposed offer is successful?
No
4F.2 Countries in which the entity has +security holders
who will not be eligible to accept the proposed offer
All countries except Australia and New Zealand |
4F.3 URL on the entity’s website where investors can
download information about the proposed offer
https://alteritytherapeutics.com/investor-overview/asx-announcements/ |
4F.4 Any other information the entity wishes to provide
about the proposed offer
Proposed issue of securities | 10 / 10 |
Alterity Therapeutics (PK) (USOTC:PRNAF)
Historical Stock Chart
From May 2024 to Jun 2024
Alterity Therapeutics (PK) (USOTC:PRNAF)
Historical Stock Chart
From Jun 2023 to Jun 2024