SEC Form 4 · accession 0000899243-19-001110
UNIVERSAL BIOSENSORS INC · UBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rick L Legleiter
Officer — Chief Executive Officer
Period of report
Dec 14, 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 StockF1 | Dec 14, 2018 | A | 4,166 | $0.00 | A | 162,853 | 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)F2,F3 | $0.50 | holding | — | — | — | — | Oct 23, 2022 | Common Stock | 1,600,000 | 1,600,000 | D |
| Stock Option (Right to Buy)F2,F3 | $0.60 | holding | — | — | — | — | Oct 23, 2022 | Common Stock | 2,700,000 | 2,700,000 | D |
| Stock Option (Right to Buy)F2,F3 | $0.80 | holding | — | — | — | — | Oct 23, 2022 | Common Stock | 3,300,000 | 3,300,000 | D |
Explanation of responses
- F1Includes (i) 158,687 shares in the form of CDIs Mr. Leglieter holds directly and (ii) 4,166 restricted fully paid shares.
- F2The price reported is stated in Australian dollars.
- F3The options were granted on October 24, 2017. The options will vest and only become exercisable on the date that is three years from the date of grant of the options, subject to continued employment at the time of vesting. If the Company terminates the employment without cause prior to the vesting date, a proportion of the options will vest, being the same as the proportion of the three year vesting period that the employee served with the Company.