Filing Details
- Accession Number:
- 0001104659-24-057126
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2024-05-03 20:50:35
- Reporting Period:
- 2024-05-01
- Accepted Time:
- 2024-05-03 20:50:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1279695 | Universal Biosensors Inc | UBI | Surgical & Medical Instruments & Apparatus (3841) | 980424072 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1678533 | E. Craig Coleman | 1 Corporate Avenue Victoria C3 3178 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2024-05-01 | 29,289,424 | $0.15 | 86,088,025 | No | 4 | P | Indirect | By Partnership |
| Common Stock | Acquisiton | 2024-05-01 | 217,182 | $0.15 | 970,802 | No | 4 | P | Indirect | By the Coleman Super Fund |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Partnership |
| No | 4 | P | Indirect | By the Coleman Super Fund |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2024-05-01 | 29,289,424 | $0.00 | 29,289,424 | $0.20 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2024-05-01 | 13,849,567 | $0.00 | 13,849,567 | $0.20 |
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2024-05-01 | 217,182 | $0.00 | 217,182 | $0.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 29,289,424 | 2024-05-01 | 2027-05-08 | No | 4 | P | Indirect |
| 13,849,567 | 2024-05-01 | 2027-05-08 | No | 4 | P | Indirect |
| 217,182 | 2024-05-01 | 2027-05-08 | No | 4 | P | Indirect |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $0.92 | 2022-05-27 | 2025-05-26 | 1,920,000 | 1,920,000 | Indirect |
| Common Stock | Stock Option (Right to Buy) | $1.00 | 2022-05-27 | 2025-05-26 | 1,920,000 | 1,920,000 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-05-26 | 1,920,000 | 1,920,000 | Indirect |
| 2025-05-26 | 1,920,000 | 1,920,000 | Indirect |
Footnotes
- Traded as Chess Depository Interests ("CDIs") on the Australian Stock Exchange. CDIs represent beneficial interests in the common stock held by CHESS Depository Nominees Pty Ltd.
- The price reported is stated in Australian dollars.
- The Reporting Person is a director of Viburnum, which is the manager of each of VF Strategic Equities Fund ("Strategic Fund") and separately managed accounts on behalf of a Viburnum client ("Strategic Mandates") the direct beneficial owners of the common stock and stock options. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the common stock and stock options held by Strategic Fund, and Strategic Mandates, except to the extent of his pecuniary interest therein.
- Viburnum, as the manager of Strategic Fund and Strategic Mandates, may be deemed to beneficially own 86,088,025 shares of common stock, which consists of 38,198,117 and 47,889,908 shares of common stock held by Strategic Fund and Strategic Mandates, respectively. Viburnum, as the manager of each of Strategic Fund and Strategic Mandates, shares voting and dispositive power over, and may be deemed to beneficially own, the common stock held by the foregoing entities. The Reporting Person shares voting and dispositive power over, and may be deemed to beneficially own, the common stock held by the foregoing entities due to the Reporting Person serving as a director of Viburnum.
- The Reporting Person and Phylis Coleman are the trustees of the Coleman Super Fund, of which the Reporting Person is a potential beneficiary.
- Viburnum, as the manager of Strategic Fund and Strategic Mandates, may be deemed to beneficially own 43,138,991 stock options which an exercise price of A$0.20 and expiry date of 05/08/2027.
- Viburnum, as the manager of Strategic Fund and Strategic Mandates, may be deemed to beneficially own 1,920,000 stock options which an exercise price of A$0.92 and expiry date of 05/26/2025.
- Viburnum, as the manager of Strategic Fund and Strategic Mandates, may be deemed to beneficially own 1,920,000 stock options which an exercise price of A$1.00 and expiry date of 05/26/2025.
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