SEC Form 4 · accession 0000899243-19-006381
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
Feb 28, 2019
Accepted (ET)
Mar 6, 2019 · 12:13 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 | Feb 28, 2019 | M | 105,000 | $0.00 | A | 186,837 | D | |
| Common Stock | Feb 28, 2019 | M | 25,000 | $0.00 | A | 211,837 | D | |
| Common Stock | Feb 28, 2019 | M | 40,000 | $0.00 | A | 251,837 | D | |
| Common StockF9 | Feb 28, 2019 | M | 40,000 | $0.00 | A | 291,837 | 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)F2 | $0.00 | Feb 28, 2019 | M | 40,000 | D | — | Jan 29, 2022 | Common Stock | 40,000 | 0 | D |
| Stock Option (Right to Buy)F3 | $0.00 | Feb 28, 2019 | M | 40,000 | D | — | Dec 11, 2020 | Common Stock | 40,000 | 0 | D |
| Stock Option (Right to Buy)F4 | $0.00 | Feb 28, 2019 | M | 25,000 | D | — | Nov 12, 2019 | Common Stock | 25,000 | 0 | D |
| Stock Option (Right to Buy)F6 | $0.00 | Feb 28, 2019 | M | 105,000 | D | — | Jun 28, 2019 | Common Stock | 105,000 | 0 | D |
| Stock Option (Right to Buy)F1,F8 | $0.50 | holding | — | — | — | — | Apr 20, 2023 | Common Stock | 728,000 | 728,000 | D |
| Stock Option (Right to Buy)F1,F5 | $1.72 | holding | — | — | — | — | Nov 9, 2019 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to Buy)F1,F7 | $0.50 | holding | — | — | — | — | Feb 27, 2024 | Common Stock | 93,600 | 93,600 | D |
Explanation of responses
- F1The price is stated in Australian dollars.
- 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. These options were all exercised on 02/28/2019.
- 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. These options were all exercised on 02/28/2019.
- 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. These options were all exercised on 02/28/2019.
- F51/3 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.
- F610,000 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. These options were all exercised on 02/28/2019.
- F793,600 options vested and became exercisable on December 31, 2017.
- F8208,000 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.
- F9Includes shares in the form of CDIs Dr. Oates holds directly.
Remarks
Vice President, Quality and Regulatory