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 September 2020

 

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 (File No. 333-228671) and our Registration Statements on Form F-3 (Files No. 333-220886 and 333-231417).

 

 

 

 

 

 

Alterity Therapeutics Limited

 

6-K   Items
 
99.1   Change of Director’s Interest Notices

 

1

 

 

SIGNATURES

 

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
    (Registrant)
     
  By: /s/ Geoffrey Kempler
    Geoffrey Kempler,
    Executive Chairman

 

September 21, 2020

 

 

2

 

 

Exhibit 99.1

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

 

Introduced 30/9/2001.

 

Name of Entity: Alterity Therapeutics Limited           (ASX:ATH)
ACN: 080 699 065

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director: Mr. Brian Meltzer
Date of Last Notice: 22nd December 2017

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Direct or indirect interest  

Direct

 

Nature of indirect interest (including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

  -
Date of change  

18th September 2020

 

 

           
No. of securities held prior to change     Shares Options  
    Direct - 1,250,000  
    Indirect 326,666 -  
    Total 326,666 1,250,000  
           
Class  

Unlisted Options

 

 

 

           
Number acquired     Shares Options  
    Direct - 7,000,000  
    Indirect - -  
    Total - 7,000,000  
           

 

+ See chapter 19 for defined terms.  
   
11/3/2002 Appendix 3Y Page 1

 

1

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

           
Number disposed     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

As detailed in the Explanatory Memorandum which accompanied and formed part of the Notice of General Meeting of the Company approved on the 3rd of September 2020. 

           

No. of securities held after change

    Shares Options  
    Direct - 8,250,000  
    Indirect 326,666 -  
    Total 326,666 8,250,000  
           

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

  Issue of incentive options under ESOP  

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Detail of contract  
Nature of interest  

Name of registered holder

(if issued securities)

 
Date of change  

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 
Interest acquired  
Interest disposed  

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 
Interest after change  

 

Part 3 - +Closed Period

 

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? No
If so, was prior written clearance provided to allow the trade to proceed during this period? N/A
If prior written clearance was provided on what date was this provided? N/A

 

  The CFO Solution
22 Dec 2012

 

+ See chapter 19 for defined terms.  
   
Appendix 3Y Page 2 11/3/2002

 

2

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

 

Introduced 30/9/2001.

 

Name of Entity: Alterity Therapeutics Limited           (ASX:ATH)
ACN: 080 699 065

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director: Dr. David Sinclair
Date of Last Notice: 8th April 2019

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Direct or indirect interest  

Direct

 

Nature of indirect interest (including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

  -
Date of change  

18th September 2020

 

 

           
No. of securities held prior to change     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           
Class  

Unlisted Options

 

 

 

           
Number acquired     Shares Options  
    Direct - 7,000,000  
    Indirect - -  
    Total - 7,000,000  
           

 

+ See chapter 19 for defined terms.  
 
11/3/2002 Appendix 3Y Page 1

 

3

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

           
Number disposed     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

As detailed in the Explanatory Memorandum which accompanied and formed part of the Notice of General Meeting of the Company approved on the 3rd of September 2020. 

           
No. of securities held after change     Shares Options  
    Direct - 7,000,000  
    Indirect - -  
    Total - 7,000,000  
           

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

  Issue of incentive options under ESOP  

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Detail of contract  
Nature of interest  

Name of registered holder

(if issued securities)

 
Date of change  

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 
Interest acquired  
Interest disposed  

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 
Interest after change  

 

Part 3 - +Closed Period

 

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? No
If so, was prior written clearance provided to allow the trade to proceed during this period? N/A
If prior written clearance was provided on what date was this provided? N/A

 

  The CFO Solution
22 Dec 2012

 

+ See chapter 19 for defined terms.  
 
Appendix 3Y Page 2 11/3/2002

 

4

 

  

Appendix 3Y

Change of Director’s Interest Notice

 

 

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

 

Introduced 30/9/2001.

 

Name of Entity: Alterity Therapeutics Limited           (ASX:ATH)
ACN: 080 699 065

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director: Mr. Geoffrey Kempler
Date of Last Notice: 22nd December 2017

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Direct or indirect interest  

Direct

 

Nature of indirect interest (including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

  Director related entity
Date of change  

18th September 2020

 

 

           
No. of securities held prior to change     Shares Options  
    Direct 30,000 5,000,000  
    Indirect 17,981,000 -  
    Total 18,011,000 5,000,000  
           
Class  

Unlisted Options

 

 

 

           
Number acquired     Shares Options  
    Direct - 14,000,000  
    Indirect - -  
    Total - 14,000,000  
           

 

+ See chapter 19 for defined terms.  
 
11/3/2002 Appendix 3Y Page 1

 

5

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

           
Number disposed     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

As detailed in the Explanatory Memorandum which accompanied and formed part of the Notice of General Meeting of the Company approved on the 3rd of September 2020. 

           
No. of securities held after change     Shares Options  
    Direct 30,000 19,000,000  
    Indirect 17,981,000 -  
    Total 18,011,000 19,000,000  
           

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

  Issue of incentive options under ESOP  

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Detail of contract  
Nature of interest  

Name of registered holder

(if issued securities)

 
Date of change  

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 
Interest acquired  
Interest disposed  

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 
Interest after change  

 

Part 3 - +Closed Period

 

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? No
If so, was prior written clearance provided to allow the trade to proceed during this period? N/A
If prior written clearance was provided on what date was this provided? N/A

 

  The CFO Solution
22 Dec 2012

 

+ See chapter 19 for defined terms.  
 
Appendix 3Y Page 2 11/3/2002

 

6

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

 

Introduced 30/9/2001.

 

Name of Entity: Alterity Therapeutics Limited           (ASX:ATH)
ACN: 080 699 065

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director: Mr. Lawrence Gozlan
Date of Last Notice: 22nd December 2017

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Direct or indirect interest  

Direct

 

Nature of indirect interest (including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

  -
Date of change  

18th September 2020

 

 

           
No. of securities held prior to change     Shares Options  
    Direct - 1,250,000  
    Indirect - -  
    Total - 1,250,000  
           
Class  

Unlisted Options

 

 

 

           
Number acquired     Shares Options  
    Direct - 7,000,000  
    Indirect - -  
    Total - 7,000,000  
           

 

+ See chapter 19 for defined terms.  
 
11/3/2002 Appendix 3Y Page 1

 

7

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

           
Number disposed     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

As detailed in the Explanatory Memorandum which accompanied and formed part of the Notice of General Meeting of the Company approved on the 3rd of September 2020. 

           
No. of securities held after change     Shares Options  
    Direct - 8,250,000  
    Indirect - -  
    Total - 8,250,000  
           

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

  Issue of incentive options under ESOP  

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Detail of contract  
Nature of interest  

Name of registered holder

(if issued securities)

 
Date of change  

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 
Interest acquired  
Interest disposed  

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 
Interest after change  

 

Part 3 - +Closed Period

 

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? No
If so, was prior written clearance provided to allow the trade to proceed during this period? N/A
If prior written clearance was provided on what date was this provided? N/A

 

  The CFO Solution
22 Dec 2012

 

+ See chapter 19 for defined terms.  
 
Appendix 3Y Page 2 11/3/2002

 

8

 

  

Appendix 3Y

Change of Director’s Interest Notice

 

 

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

 

Introduced 30/9/2001.

 

Name of Entity: Alterity Therapeutics Limited           (ASX:ATH)
ACN: 080 699 065

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director: Mr. Peter Marks
Date of Last Notice: 22nd December 2017

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Direct or indirect interest  

Direct

 

Nature of indirect interest (including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

  -
Date of change  

18th September 2020

 

 

           
No. of securities held prior to change     Shares Options  
    Direct - 1,250,000  
    Indirect 43,111 -  
    Total 43,111 1,250,000  
           
Class  

Unlisted Options

 

 

 

           
Number acquired     Shares Options  
    Direct - 7,000,000  
    Indirect - -  
    Total - 7,000,000  
           

 

+ See chapter 19 for defined terms.  
 
11/3/2002 Appendix 3Y Page 1

 

9

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

           
Number disposed     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

As detailed in the Explanatory Memorandum which accompanied and formed part of the Notice of General Meeting of the Company approved on the 3rd of September 2020. 

           
No. of securities held after change     Shares Options  
    Direct - 8,250,000  
    Indirect 43,111 -  
    Total 43,111 8,250,000  
           

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

  Issue of incentive options under ESOP  

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Detail of contract  
Nature of interest  

Name of registered holder

(if issued securities)

 
Date of change  

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 
Interest acquired  
Interest disposed  

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 
Interest after change  

 

Part 3 - +Closed Period

 

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? No
If so, was prior written clearance provided to allow the trade to proceed during this period? N/A
If prior written clearance was provided on what date was this provided? N/A

 

  The CFO Solution
22 Dec 2012

 

+ See chapter 19 for defined terms.  
 
Appendix 3Y Page 2 11/3/2002

 

10

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

Rule 3.19A.2

Appendix 3Y

 

Change of Director’s Interest Notice

 

Information or documents not available now must be given to ASX as soon as available. Information and documents given to ASX become ASX’s property and may be made public.

 

Introduced 30/9/2001.

 

Name of Entity: Alterity Therapeutics Limited           (ASX:ATH)
ACN: 080 699 065

 

We (the entity) give ASX the following information under listing rule 3.19A.2 and as agent for the director for the purposes of section 205G of the Corporations Act.

 

Name of Director: Mr. Tristan Edwards
Date of Last Notice: 8th April 2019

 

Part 1 - Change of director’s relevant interests in securities

In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust

 

Note: In the case of a company, interests which come within paragraph (i) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Direct or indirect interest  

Direct

 

Nature of indirect interest (including registered holder)

Note: Provide details of the circumstances giving rise to the relevant interest.

  -
Date of change  

18th September 2020

 

 

           
No. of securities held prior to change     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           
Class  

Unlisted Options

 

 

 

           
Number acquired     Shares Options  
    Direct - 7,000,000  
    Indirect - -  
    Total - 7,000,000  
           

 

+ See chapter 19 for defined terms.  
 
11/3/2002 Appendix 3Y Page 1

 

11

 

 

Appendix 3Y

Change of Director’s Interest Notice

 

 

           
Number disposed     Shares Options  
    Direct - -  
    Indirect - -  
    Total - -  
           

Value/Consideration

Note: If consideration is non-cash, provide details and estimated valuation

 

As detailed in the Explanatory Memorandum which accompanied and formed part of the Notice of General Meeting of the Company approved on the 3rd of September 2020. 

           
No. of securities held after change     Shares Options  
    Direct - 7,000,000  
    Indirect - -  
    Total - 7,000,000  
           

Nature of change

Example: on-market trade, off-market trade, exercise of options, issue of securities under dividend reinvestment plan, participation in buy-back

  Issue of incentive options under ESOP  

 

Part 2 – Change of director’s interests in contracts

 

Note: In the case of a company, interests which come within paragraph (ii) of the definition of “notifiable interest of a director” should be disclosed in this part.

 

Detail of contract  
Nature of interest  

Name of registered holder

(if issued securities)

 
Date of change  

No. and class of securities to which interest related prior to change

Note: Details are only required for a contract in relation to which the interest has changed

 
Interest acquired  
Interest disposed  

Value/Consideration

Note: If consideration is non-cash, provide details and an estimated valuation

 
Interest after change  

 

Part 3 - +Closed Period

 

Were the interests in the securities or contracts detailed above traded during a +closed period where prior written clearance was required? No
If so, was prior written clearance provided to allow the trade to proceed during this period? N/A
If prior written clearance was provided on what date was this provided? N/A

 

  The CFO Solution
22 Dec 2012

 

+ See chapter 19 for defined terms.  
 
Appendix 3Y Page 2 11/3/2002

 

 

12