SEC Form 4 · accession 0000899243-19-001114
UNIVERSAL BIOSENSORS INC · UBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Salesh Balak
Officer — Chief Financial Officer
Period of report
Nov 16, 2018
Accepted (ET)
Jan 14, 2019 · 1:54 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 Stock | Nov 16, 2018 | M | 25,000 | $0.00 | A | 124,058 | D | |
| Common StockF10 | Dec 14, 2018 | A | 4,166 | $0.00 | A | 128,224 | 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,F8 | $0.50 | holding | — | — | — | — | Apr 20, 2023 | Common Stock | 721,000 | 721,000 | D |
| Stock Option (Right to Buy)F1,F9 | $0.50 | holding | — | — | — | — | Feb 27, 2024 | Common Stock | 216,300 | 216,300 | 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 | 73,334 | 73,334 | D |
Explanation of responses
- F1The price reported is stated in Australian dollars.
- F10Includes (i) 118,528 shares in the form of CDIs Mr. Balak holds directly and (ii) 9,696 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. These options were all 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 and were exercised on 11/10/2011. 21,666 stock options vested and became exercisable on 12/31/11 and were exercised on 08/27/2012, 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.
- F8206,000 of the stock options vested and became exercisable on October 5, 2016, 412,000 of the stock options vested and became exercisable on December 31, 2016 and 103,000 of the stock options vested and became exercisable on February 23, 2017.
- F9216,300 stock options vested and became exercisable on December 31, 2017.