SEC Form 4 · accession 0000899243-17-024785
UNIVERSAL BIOSENSORS INC · UBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Garry Chambers
Officer — VP Technology Development
Period of report
Oct 24, 2017
Accepted (ET)
Oct 26, 2017 · 8:44 pm 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 | Oct 24, 2017 | M | 25,000 | $0.00 | A | 2,275,594 | 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 BuyF6 | $0.00 | Oct 24, 2017 | M | 25,000 | D | — | Nov 10, 2017 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to BuyF1,F11 | $0.50 | holding | — | — | — | — | Apr 20, 2023 | Common Stock | 742,000 | 742,000 | D |
| Stock Option (Right to BuyF2 | $0.00 | holding | — | — | — | — | Jan 29, 2022 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to BuyF3 | $0.00 | holding | — | — | — | — | Dec 11, 2020 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to BuyF4 | $0.00 | holding | — | — | — | — | Nov 12, 2019 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (Right to BuyF5 | $0.00 | holding | — | — | — | — | Nov 17, 2018 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (Right to BuyF1,F7 | $1.72 | holding | — | — | — | — | Nov 9, 2019 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to BuyF8 | $0.00 | holding | — | — | — | — | Jun 28, 2019 | Common Stock | 105,000 | 105,000 | D |
| Stock Option (Right to BuyF9 | $0.00 | holding | — | — | — | — | May 14, 2019 | Common Stock | 16,667 | 16,667 | D |
| Stock Option (Right to BuyF1,F10 | $0.89 | holding | — | — | — | — | Mar 16, 2018 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1The sale price of the securities is reported 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.
- F11212,000 of the stock options vested and became exercisable on October 5, 2016, 424,000 of the stock options vested and became exerciseable on December 31, 2016 and 106,000 of the stock options vested and became exercisable on February 23, 2017.
- F12Includes (i) 2,265,717 shares in the form of CDIs Mr. Chambers 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.
- 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 vested and became exercisable on 12/31/13, and 13,334 stock options vested and became exercisable on 12/31/14.
- F98,333 stock options 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.