SEC Form 4 · accession 0000899243-17-020560
UNIVERSAL BIOSENSORS INC · UBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adrian Oates
Officer — See Remarks
Period of report
Aug 16, 2017
Accepted (ET)
Aug 17, 2017 · 11:37 am EDT
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 StockF12 | Aug 16, 2017 | M | 41,667 | $0.00 | A | 56,837 | 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)F6 | $0.00 | Aug 16, 2017 | M | 25,000 | D | — | Nov 10, 2017 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to Buy)F9 | $0.00 | Aug 16, 2017 | M | 16,667 | D | — | May 14, 2019 | Common Stock | 16,667 | 0 | D |
| Stock Option (Right to Buy)F11 | $0.50 | holding | — | — | — | — | Apr 20, 2023 | Common Stock | 728,000 | 728,000 | 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)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)F1,F10 | $1.20 | holding | — | — | — | — | Sep 18, 2017 | Common Stock | 400,000 | 400,000 | D |
Explanation of responses
- F1The price is stated in Australian dollars.
- F101/3 of the stock options vested and became exercisable on 06/30/2008, 1/3 of the options vested and became exercisable on 06/30/2009 and the remaining stock options vested and became exercisable on 06/30/2010.
- F11208,000 of the stock options vested and became exercisable on October 5, 2016, 416,000 of the stock options vested and became exerciseable on December 31, 2016 and 104,000 of the stock options vested and became exercisable on February 23, 2017.
- F12Includes (i) 46,960 shares in the form of CDIs Dr. Oates holds directly and (ii) 9,877 restricted fully paid shares.
- F213,333 stock options vested and became exercisable on 12/31/2015, 13,333 stock options vested and became 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 vested and became exercisable on 12/31/2015, and 13,334 stock options vested and became 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 vested and became 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.
- F61/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012. All of these options were exercised on August 16, 2017.
- F71/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012.
- F810,000 stock options vested and became exercisable on 12/31/2010, 21,666 stock options vested and became exercisable on 12/31/2011, 35,000 stock options vested and became exercisable on 12/31/2012, 25,000 stock options vested and became exercisable on 12/31/2013, and 13,334 stock options vested and became exercisable on 12/31/2014.
- F98,333 stock options vested and became exercisable on 12/31/2010 and the remaining stock options vested and became exercisable on 12/31/2011. All of these options were exercised on August 16, 2017.
Remarks
Vice President, Quality & Regulatory