SEC Form 4 · accession 0000899243-19-001109
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
Nov 16, 2018
Accepted (ET)
Jan 14, 2019 · 1:36 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 StockF10 | Nov 16, 2018 | M | 25,000 | $0.00 | A | 81,837 | 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)F5 | $0.00 | Nov 16, 2018 | M | 25,000 | D | — | Nov 17, 2018 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to Buy)F1,F9 | $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)F1,F6 | $1.72 | holding | — | — | — | — | Nov 9, 2019 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to Buy)F7 | $0.00 | holding | — | — | — | — | Jun 28, 2019 | Common Stock | 105,000 | 105,000 | D |
| Stock Option (Right to Buy)F1,F8 | $0.50 | holding | — | — | — | — | Feb 27, 2024 | Common Stock | 93,600 | 93,600 | D |
Explanation of responses
- F1The price is stated in Australian dollars.
- F10Includes (i) 76,307 shares in the form of CDIs Dr. Oates holds directly and (ii) 5,530 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 vested and became 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. All these options were exercised on 11/16/2018.
- 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.
- F710,000 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.
- F893,600 options vested and became exercisable on December 31, 2017.
- F9208,000 of the stock options vested and became exercisable on October 5, 2016, 416,000 of the stock options vested and became exercisable on December 31, 2016 and 104,000 of the stock options vested and became exercisable on February 23, 2017.
Remarks
Vice President, Quality and Regulatory