SEC Form 4 · accession 0000899243-16-011713

UNIVERSAL BIOSENSORS INC · UBI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Alastair Hodges

Officer — Chief Scientist

Period of report

Dec 18, 2015

Accepted (ET)

Jan 14, 2016 · 5:55 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001279695

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common stock^F1	Dec 18, 2015	D	30,000	$0.46	D	2,804,837	D
Common Stock	Dec 31, 2015	M	36,248	$0.26	A	2,841,085	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F11	$0.26	Dec 31, 2015	M	36,248	D	—	Dec 31, 2015	Common Stock	36,248	0	D
Stock Option (Right to Buy)^F2	$0.00	holding	—	—	—	—	Jan 29, 2022	Common Stock	40,000	40,000	D
Stock Option (Right to Buy)^F3	$0.00	holding	—	—	—	—	Dec 11, 2020	Common Stock	40,000	40,000	D
Stock Option (Right to Buy)^F4	$0.00	holding	—	—	—	—	Nov 12, 2019	Common Stock	25,000	25,000	D
Stock Option (Right to Buy)^F5	$0.00	holding	—	—	—	—	Nov 17, 2018	Common Stock	25,000	25,000	D
Stock Option (Right to Buy)^F6	$0.00	holding	—	—	—	—	Nov 10, 2017	Common Stock	25,000	25,000	D
Stock Option (Right to Buy)^F1,F7	$1.72	holding	—	—	—	—	Nov 9, 2019	Common Stock	100,000	100,000	D
Stock Option (Right to Buy)^F8	$0.00	holding	—	—	—	—	Jun 28, 2019	Common Stock	105,000	105,000	D
Stock Option (Right to Buy)^F9	$0.00	holding	—	—	—	—	May 14, 2019	Common Stock	16,667	16,667	D
Stock Option (Right to Buy)^F1,F10	$0.89	holding	—	—	—	—	Mar 16, 2018	Common Stock	100,000	100,000	D
Stock Option (Right to Buy)^F1,F12	$1.18	holding	—	—	—	—	Mar 22, 2017	Common Stock	36,000	36,000	D

Explanation of responses

F1The price reported is stated in Australian dollars.
F101/3 of the stock options vested and became exercisable on 12/31/08. 1/3 of the stock options vested and became exercisable on 12/31/09. The remaining stock options vested and became exercisable on 12/31/10..
F111/3 of the stock options vested and became exercisable on 01/01/07; 1/3 of the stock options vested and became exercisable on 01/01/08, and the remaining stock options vested and became exercisable on 01/01/09. All of these options were exercised on December 31, 2015
F12The stock options vested and became exercisable in three equal tranches on 12/31/07, 12/31/08, and 12/31/09.
F213,333 stock options vest and become exercisable on 12/31/2015, 13,333 stock options vest and become exercisable on 12/31/2016, and 13,334 stock options vest and become exercisable on 12/31/2017.
F313,333 stock options vested and became exercisable on 12/31/2014, 13,333 stock options vest and become exercisable on 12/31/2015, and 13,334 stock options vest and become exercisable on 12/31/2016.
F48,333 stock options vested and became exercisable on 12/31/2013, 8,333 stock options vested and became exercisable on 12/31/2014, and 8,334 stock options vest and become exercisable on 12/31/2015.
F58,333 stock options vested and became exercisable on 12/31/2012, 8,333 stock options vested and became exercisable on 12/31/2013, and 8,334 stock options vested and became exercisable on 12/31/2014.
F68,333 stock options vested and became exercisable on 12/31/2011, 8,333 stock options vested and became exercisable on 12/31/2012, and 8,334 stock options vested and became exercisable on 12/31/2013
F71/3 of the stock options vested and became exercisable on 12/31/10, 1/3 of the stock options vested and became exercisable on 12/31/11 and the remaining stock options vested and became exercisable on 12/31/12.
F810,000 stock options vested and became exercisable on 12/31/10, 21,666 stock options vested and became exercisable on 12/31/11, 35,000 stock options vested and became exercisable on 12/31/12, 25,000 stock options vest and become exercisable on 12/31/13, and 13,334 stock options vest and become exercisable on 12/31/14.
F98,333 stock options vested and became exercisable on 12/31/2009 and were exercised on February 10, 2010. 8,333 stock options vested and became exercisable on 12/31/2010 and the remaining stock options vested and became exercisable on 12/31/11.