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:
þ A
placement or other type of issue
Total number of +securities proposed to be issued
for a placement or other type of issue
ASX+security code |
+Security description |
Maximum Number of
+securities to be issued |
|
|
|
New class-code to be confirmed |
Short-dated option |
1,371,428,571 |
|
|
|
New class-code to be confirmed |
Long-dated options |
457,142,857 |
|
|
|
ATH |
ORDINARY FULLY PAID |
1,008,965,809 |
Proposed +issue date
12/1/2024
Refer to next page for full details of the announcement
| | |
Proposed issue of securities | 1/7 | |
|
Proposed issue of securities |
Part
1 - Entity and announcement details |
|
|
|
1.1 Name of +Entity
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 |
ABN |
37080699065 |
1.3 ASX issuer code
ATH
1.4
The announcement is
þ
New announcement
1.5
Date of this announcement
22/11/2023
1.6 The Proposed issue is:
þ A
placement or other type of issue
| | |
Proposed issue of securities | 2/7 | |
|
Proposed issue of securities |
Part
7 - Details of proposed placement or other issue
|
|
|
|
7A.1 Do any external approvals need to be obtained
or other conditions satisfied before the placement or other type of issue can proceed on an unconditional basis?
þ Yes
7A.1a Conditions
Approval/Condition |
Date for determination |
Is the date estimated or actual? |
** Approval received/condition met? |
+Security holder approval |
29/12/2023 |
þ Estimated |
|
Comments
Is the proposed security a ‘New class’
(+securities in a class that is not yet quoted
or recorded by ASX) or an ‘Existing class’
(additional securities in a class that is already
quoted or recorded by ASX)? |
Will the proposed issue of this
+security
include an offer of
attaching +securities?
þ Yes
|
þ Existing
class |
|
Details of +securities proposed to be
issued
ASX +security code and description
ATH : ORDINARY FULLY PAID
Number of +securities proposed to be issued
1,008,965,809
Offer price details
Are the +securities proposed to be issued being
issued for a cash consideration?
þ Yes
| | |
Proposed issue of securities | 3/7 | |
|
Proposed issue of securities |
In what currency is the cash
consideration being paid?
|
What
is the issue price per
+security?
|
AUD - Australian Dollar |
AUD 0.00350 |
Will these +securities rank equally in all respects
from their issue date with the existing issued +securities in that class?
þ Yes
Attaching +Security
Is the proposed attaching security a ‘New class’
(+securities in a class that is not yet quoted or recorded by ASX) or an ‘Existing class’ (additional +securities in a class that is already
quoted or recorded by ASX)?
þ 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?
þ No |
þ No |
|
|
|
ASX +security code |
+Security description |
New class-code to be confirmed |
Short-dated option |
+Security type
Options
Number of +securities proposed to be issued
1,371,428,571
Offer price details
Are the +securities proposed to be issued being issued
for a cash consideration?
þ No
Please describe the consideration being provided for the +securities
One (1) free attaching short-dated option issued for each
Placement share issued per Placement announcement 22 Nov 2023
Please provide an estimate of the AUD equivalent of
the consideration being provided for the +securities
| | |
Proposed issue of securities | 4/7 | |
|
Proposed issue of securities |
Will all the +securities issued in this class rank
equally in all respects from their issue date?
þYes
Options details
+Security currency
AUD - Australian Dollar
Exercise price |
Expiry date |
AUD 0.0070 |
31/8/2024 |
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 fully paid ordinary 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/
Is the proposed security a ‘New class’
(+securities
in a class that is not yet quoted
or recorded by ASX) or an ‘Existing class’
(additional securities in a class that is already
quoted
or recorded by ASX)?
|
Will the proposed issue of this
+security include an offer of
attaching +securities?
þ No |
þ New class
|
|
Details of +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? |
þ No |
þ Yes |
|
|
ASX +security code |
+Security description |
New class-code to be confirmed |
Long-dated options |
+Security type
Options
| | |
Proposed issue of securities | 5/7 | |
|
Proposed issue of securities |
Number of +securities proposed to be issued
457,142,857
Offer price details
Are the +securities proposed to be issued being issued
for a cash consideration?
þ No
Please describe the consideration being provided for the +securities
One (1) free attaching long-dated option issued for each
three (3) Placement share issued per Placement announcement 22 Nov 2023
Please provide an estimate of the AUD equivalent of the consideration
being provided for the +securities
Will all the +securities issued in this class
rank equally in all respects from their issue date?
þ Yes
Options details
+Security currency
|
Exercise price
|
Expiry date
|
AUD - Australian Dollar
|
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 fully paid ordinary 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/
| 7C.1 | Proposed
+issue date |
12/1/2024
| | |
Proposed issue of securities | 6/7 | |
|
Proposed issue of securities |
Part
7D - Listing Rule requirements
|
|
|
|
| 7D.1 | Has
the entity obtained, or is it obtaining, +security holder approval for the entire issue under
listing rule 7.1? |
7D.1a Date of meeting or proposed meeting to approve
the issue under listing rule 7.1
29/12/2023
| 7D.2 | Is
a party referred to in listing rule 10.11 participating in the proposed issue? |
| 7D.3 | Will
any of the +securities to be issued be +restricted securities for the purposes of the listing
rules? |
| 7D.4 | Will
any of the +securities to be issued be subject to +voluntary escrow? |
Part
7E - Fees and expenses
|
|
|
|
7E.1 Will there be a lead manager or broker to the proposed issue?
7E.1a
Who is the lead manager/broker?
MST Financial Services Pty Ltd |
7E.1b
What fee, commission or other consideration is payable to them for acting as lead manager/broker?
6% of amount raised under Placement |
7E.2 Is the proposed issue to be underwritten?
7E.4 Details
of any other material fees or costs to be incurred by the entity in connection with the proposed issue
Part
7F - Further Information
|
|
|
|
7F.01 The purpose(s) for which the entity is issuing the securities
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. |
7F.1
Will the entity be changing its dividend/distribution policy if the proposed issue proceeds?
7F.2 Any
other information the entity wishes to provide about the proposed issue
| 7F.3 | Any
on-sale of the +securities proposed to be issued within 12 months of their date of issue
will comply with the secondary sale provisions in sections 707(3) and 1012C(6) of the Corporations
Act by virtue of: |
| þ | The
publication of a cleansing notice under section 708A(5), 708AA(2)(f), 1012DA(5) or 1012DAA(2)(f) |
| | |
Proposed issue of securities | 7/7 | |
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