SEC Form 4 · accession 0000899243-17-024787
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
Oct 24, 2017
Accepted (ET)
Oct 26, 2017 · 8:51 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 | 2,871,615 | 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 | Oct 24, 2017 | M | 25,000 | D | — | Nov 10, 2017 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to Buy)F1,F11 | $0.50 | holding | — | — | — | — | Apr 20, 2023 | Common Stock | 742,000 | 742,000 | 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)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 |
Explanation of responses
- F1The issue price reported is stated in Australian dollars.
- F101/3 of the stock options vested and became exercisable on 12/31/2008. 1/3 of the stock options vested and became exercisable on 12/31/2009. The remaining stock options vested and became exercisable on 12/31/2010.
- 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) 2,861,738 shares in the form of CDIs Dr. Hodges 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 12/31/2010, 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 12/31/2009 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.