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4//SEC Filing

Oates Adrian 4

Accession 0000899243-17-020560

CIK 0001279695other
View on SEC.govCompany Profile

Filed

Aug 16, 8:00 PM ET

Accepted

Aug 17, 11:37 AM ET

Size

21.6 KB

Accession

0000899243-17-020560

Insider Transaction Report

Form 4
Period: 2017-08-16
UNIVERSAL BIOSENSORS INCUBI
Oates Adrian
VP, Quality & Regulatory
Transactions
  • Exercise/Conversion

    Common Stock

    2017-08-16+41,667→ 56,837 total
  • Exercise/Conversion

    Stock Option (Right to Buy)

    2017-08-16−16,667→ 0 total
    Exercise: $0.00Exp: 2019-05-14→ Common Stock (16,667 underlying)
  • Exercise/Conversion

    Stock Option (Right to Buy)

    2017-08-16−25,000→ 0 total
    Exercise: $0.00Exp: 2017-11-10→ Common Stock (25,000 underlying)
Holdings

  • Stock Option (Right to Buy)

    Exercise: $0.00Exp: 2018-11-17→ Common Stock (25,000 underlying)
    25,000

  • Stock Option (Right to Buy)

    Exercise: $0.00Exp: 2020-12-11→ Common Stock (40,000 underlying)
    40,000

  • Stock Option (Right to Buy)

    Exercise: $0.00Exp: 2019-11-12→ Common Stock (25,000 underlying)
    25,000

  • Stock Option (Right to Buy)

    Exercise: $1.20Exp: 2017-09-18→ Common Stock (400,000 underlying)
    400,000

  • Stock Option (Right to Buy)

    Exercise: $0.50Exp: 2023-04-20→ Common Stock (728,000 underlying)
    728,000

  • Stock Option (Right to Buy)

    Exercise: $0.00Exp: 2022-01-29→ Common Stock (40,000 underlying)
    40,000

  • Stock Option (Right to Buy)

    Exercise: $1.72Exp: 2019-11-09→ Common Stock (100,000 underlying)
    100,000

  • Stock Option (Right to Buy)

    Exercise: $0.00Exp: 2019-06-28→ Common Stock (105,000 underlying)
    105,000
Footnotes (12)
  • [F1]The price is stated in Australian dollars.
  • [F10]1/3 of the stock options vested and became exercisable on 06/30/2008, 1/3 of the options vested and became exercisable on 06/30/2009 and the remaining stock options vested and became exercisable on 06/30/2010.
  • [F11]208,000 of the stock options vested and became exercisable on October 5, 2016, 416,000 of the stock options vested and became exerciseable on December 31, 2016 and 104,000 of the stock options vested and became exercisable on February 23, 2017.
  • [F12]Includes (i) 46,960 shares in the form of CDIs Dr. Oates holds directly and (ii) 9,877 restricted fully paid shares.
  • [F2]13,333 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.
  • [F3]13,333 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.
  • [F4]8,333 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.
  • [F5]8,333 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.
  • [F6]1/3 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. All of these options were exercised on August 16, 2017.
  • [F7]1/3 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.
  • [F8]10,000 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.
  • [F9]8,333 stock options vested and became exercisable on 12/31/2010 and the remaining stock options vested and became exercisable on 12/31/2011. All of these options were exercised on August 16, 2017.

Documents

1 file

Issuer

UNIVERSAL BIOSENSORS INC

CIK 0001279695

→
Entity typeother

Related Parties

1
  • filerCIK 0001432802

Filing Metadata

Form type
4
Filed
Aug 16, 8:00 PM ET
Accepted
Aug 17, 11:37 AM ET
Size
21.6 KB
View on SEC.gov