Form 6-K - Report of foreign issuer [Rules 13a-16 and 15d-16]
November 29 2023 - 6:28AM
Edgar (US Regulatory)
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.
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Alterity Therapeutics Limited |
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By: |
/s/ Geoffrey P. Kempler |
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Geoffrey P. Kempler |
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Chairman |
Date:
November 29, 2023
2
Exhibit 99.1
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Application for quotation of +securities
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Entity name
ALTERITY THERAPEUTICS LIMITED
Announcement Type
New announcement
Date of this announcement
Wednesday November 29, 2023
The +securities
to be quoted are:
þ
+Securities issued as part of a transaction or transactions previously announced to the market in
an Appendix 3B
Total number of +securities to be quoted
ASX
+security code |
Security description |
Number
of +securities
to be quoted |
Issue date |
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ATH |
ORDINARY FULLY PAID |
362,462,762
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29/11/2023 |
Refer to next page for full details of the announcement
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Application for quotation of +securities | 1/6 | |
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Application for quotation of +securities
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Part
1 - Entity and announcement details |
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1.1
Name of entity
ALTERITY THERAPEUTICS LIMITED
We (the entity named above) apply for +quotation of
the following +securities and agree to the matters set out in Appendix 2A of the ASX Listing Rules.
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
29/11/2023
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Application for quotation of +securities | 2/6 | |
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Application for quotation of +securities
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2.1 The +securities to be quoted are:
þ +Securities
issued as part of a transaction or transactions previously announced to the market in an Appendix 3B
Previous Appendix 3B details:
Announcement Date and Time
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Announcement Title |
Selected Appendix 3B to submit quotation request
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22-Nov-2023 09:55
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New - Proposed issue of securities - ATH
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A placement or other type of issue
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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?
þ
No
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Application for quotation of +securities | 3/6 | |
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Application for quotation of +securities
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Part 3A - number and type of +securities to be quoted where issue has previously been notified to ASX in an Appendix 3B
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ASX +security code and
description
ATH : ORDINARY FULLY PAID
Issue date
29/11/2023
Provide a distribution schedule for the new +securities
according to the categories set out in the left hand column - including the number of recipients and the total percentage of the new +securities
held by the recipients in each category.
Number of +securities held
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Number of holders |
Total percentage
of +securities held
For example,
to enter a value of 50% please input as 50.00
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1 - 1,000 |
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% |
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1,001 - 5,000 |
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% |
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5,001 - 10,000 |
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% |
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10,001 - 100,000 |
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% |
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100,001 and over |
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% |
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Application for quotation of +securities | 4/6 | |
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Application for quotation of +securities
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Number of +securities to be quoted
362,462,762
Are the +securities being issued for a cash consideration?
þ Yes
In what currency is the cash consideration being paid?
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What is the issue price per +security?
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AUD - Australian Dollar
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AUD 0.00350000
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Any other information the entity wishes to provide about the +securities
to be quoted
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Application for quotation of +securities | 5/6 | |
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Application for quotation of +securities
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Part 4 - Issued capital following quotation
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Following the quotation
of the +securities the subject of this application, the issued capital 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 on ASX following the +quotation of the +securities subject of this application)
ASX +security code and description
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Total number of
+securities on issue
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ATH : ORDINARY FULLY PAID
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2,802,360,380
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4.2 Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX)
ASX +security code and description
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Total number of
+securities on issue
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ATHAAE : OPTION EXPIRING 29-NOV-2026 EX $0.0375 |
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19,250,000 |
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ATHAAF : OPTION EXPIRING 31-JUL-2024 EX $0.07 |
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12,000,000 |
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ATHAAG : OPTION EXPIRING 29-NOV-2026 EX $0.0238 |
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11,900,000 |
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ATHAAB : OPTION EXPIRING 17-SEP-2025 EX $0.09 |
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35,000,000 |
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ATHAAC : OPTION EXPIRING 23-NOV-2023 EX $0.07 |
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674,694,939 |
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ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 |
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91,392,720 |
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Application for quotation of +securities | 6/6 | |
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