SEC Form 4 · accession 0001209191-15-020135
UNIVERSAL BIOSENSORS INC · UBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Wright
Officer — Chief Executive Officer · Director
Period of report
Feb 26, 2015
Accepted (ET)
Mar 2, 2015 · 12:22 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,F2 | Feb 26, 2015 | P | 269,088 | $99,812.57 | A | 606,516 | I | By Chatsworth Trust |
| Common stockF3 | holding | — | — | — | 44,666 | I | By Macqarie Super Fund Manager | |
| Common stockF4 | holding | — | — | — | 142,105 | I | By P K W Super Fund | |
| Common stock | holding | — | — | — | 2,957 | 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 | holding | — | — | — | — | Dec 11, 2020 | Common Stock | 60,000 | 60,000 | D |
| Stock Option (Right to Buy)F6 | $0.00 | holding | — | — | — | — | Nov 12, 2019 | Common Stock | 37,500 | 37,500 | D |
| Stock Option (Right to Buy)F1,F7 | $1.38 | holding | — | — | — | — | Feb 23, 2018 | Common Stock | 2,300,000 | 2,300,000 | D |
Explanation of responses
- F1The prices reported are stated in Australian dollars.
- F2The reported securities are held in trust for the benefit of the Reporting Person. The Reporting Person's spouse is trustee of the trust. The Reporting Person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- F3The reported securities are held by the Macquarie Super Fund Manager in a pooled superannuation fund for the account of the Reporting Person.
- F4The reported securities are held by the Macquarie Super Fund Manager in trust and for the account of the Reporting Person.
- F5On December 12, 2013, the board of directors approved the grant of these options subject to shareholder approval. Such shareholder approval was received on June 12, 2014. The stock options vest and become exercisable in three equal tranches om 12/31/14, 12/31/15 and 12/31/16.
- F6On November 13, 2012, the board of directors approved the grant of these options subject to shareholder approval. Such shareholder approval was received on May 16, 2013. The stock options vest and become exercisable in three equal tranches om 12/31/13, 12/31/14 and 12/31/15.
- F71,400,000 options vest in equal traunches over three years subject to continued employment at the time of vesting. 500,000 of the options vested upon the company entering into a material partnership/licensing agreement with Siemens Healthcare Diagnostics, Inc. on September 9, 2011. 400,000 options vest upon CE marketing or first regulatory approval in the United States of the final test to which the partnership/licensing arranagement relates, subject to continued employment at the time of vesting.