SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
6-K
REPORT
OF FOREIGN PRIVATE ISSUER
PURSUANT
TO RULE 13a-16 OR 15d-163
UNDER
THE SECURITIES EXCHANGE ACT OF 1934
For
the month of December 2023
Alterity
Therapeutics Limited
(Name
of Registrant)
Level 14, 350 Collins Street,
Melbourne, Victoria 3000 Australia
(Address
of Principal Executive Office)
Indicate
by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form
20-F ☒ Form 40-F ☐
This
Form 6-K is being incorporated by reference into our Registration Statement on Form S-8 (Files No. 333-251073, 333-248980
and 333-228671) and our
Registration Statements on Form F-3 (Files No. 333-274816, 333-251647, 333-231417
and 333-250076)
ALTERITY
THERAPEUTICS LIMITED
(a
development stage enterprise)
The
following exhibits are submitted:
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned, thereunto duly authorized.
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Alterity Therapeutics Limited |
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|
|
By: |
/s/ Geoffrey P. Kempler |
|
|
Geoffrey P. Kempler |
|
|
Chairman |
Date:
December 29, 2023
2
Exhibit 99.1
Alterity Therapeutics Announces Shareholder
Approval of Tranche Two Placement and Security Purchase Plan
MELBOURNE, AUSTRALIA AND SAN FRANCISCO, USA
– 29 December 2023: Alterity Therapeutics (ASX: ATH, NASDAQ: ATHE) (“Alterity” or “the Company”), a
biotechnology company dedicated to developing disease modifying treatments for neurodegenerative diseases, today announced that shareholders
approved the resolution to proceed with Tranche Two of the Placement and Security Purchase Plan (SPP) first announced on 22 November 2023.
The resolution was obtained at the Company’s Extraordinary General Meeting (EGM) earlier today.
The Company has lodged relevant documentation
to proceed with Tranche Two of the Placement and SPP with the Australian Securities and Investments Commission (ASIC) and the ASX.
As announced on 29 November 2023, Tranche One
of the Placement raised approximately A$1.3M in accordance with the Company’s available placement capacity pursuant to ASX Listing
Rules 7.1 (362,462,762 shares). Tranche Two is anticipated to raise approximately A$3.5M (1,008,965,809 shares and all free attaching
options). The new shares rank equally with ATH fully paid ordinary shares.
Eligible shareholders with a registered address
in Australia and New Zealand at the record date (7.00 pm on 21 November 2023) will be invited to participate in an SPP under which
shares and free-attaching options will be offered on the same terms as the Placement up to a maximum of A$30,000 per eligible shareholder.
The maximum total subscription under the SPP is A$2 million. The SPP offer is only being made to shareholders with a registered address
in Australia or New Zealand in the register of members of the Company, having regard to the compliance costs of making the SPP offer in
other jurisdictions.
Key Dates for Tranche Two of the Placement
and SPP
Event |
Time and Date (AEST) |
|
2023 |
Record Date for SPP |
7:00 pm Tue 21 November |
Placement Options Prospectus and
SPP Prospectus lodged with ASIC and ASX |
Fri 29 December |
|
2024 |
Closing date of Placement Options Offer |
5:00 pm Fri 5 January |
Issue of securities under Placement Options Prospectus |
Mon 8 January |
Normal trading of Tranche Two Placement shares and dispatch of holding statements
|
Tue 9 January |
Event |
Time
and Date (AEST) |
Dispatch of the SPP offer booklet |
Wed 10 January |
SPP offer opens |
Wed 10 January |
SPP offer closes |
5.00 pm, Thu 25 January |
Announcement of results of SPP (including scale back, if any) |
Fri 2 February |
Allotment of Shares under the SPP |
Fri 2 February |
Normal trading of SPP shares and dispatch of holding statements |
Mon 5 February |
Note: The timetable
above is indicative only and subject to variation. The Company reserves the right to alter the timetable as its absolute discretion and
without notice, subject to the ASX Listing Rules and Corporations Act 2001 (Cth).
The proceeds from this financing will provide
ongoing funding of Alterity’s Phase 2 clinical trials in Multiple System Atrophy (MSA), planning for a potential Phase 3 clinical
trial in MSA, continuing discovery and research efforts in neurodegenerative diseases, including Parkinson’s Disease, and general
working capital. The placement was managed by MST Financial Pty Ltd.
About Alterity Therapeutics Limited
Alterity Therapeutics is a clinical stage biotechnology
company dedicated to creating an alternate future for people living with neurodegenerative diseases. The Company’s lead asset,
ATH434, has the potential to treat various Parkinsonian disorders and is currently being evaluated in two Phase 2 clinical trials in Multiple
System Atrophy. Alterity also has a broad drug discovery platform generating patentable chemical compounds to treat the underlying pathology
of neurological diseases. The Company is based in Melbourne, Australia, and San Francisco, California, USA. For further information please
visit the Company’s web site at www.alteritytherapeutics.com.
Authorisation & Additional information
This announcement was authorized by David Stamler, CEO of Alterity
Therapeutics Limited.
Investor and Media Contacts:
Australia
Hannah Howlett
we-aualteritytherapeutics@we-worldwide.com
+61 450 648 064
U.S.
Remy Bernarda
remy.bernarda@iradvisory.com
+1 (415) 203-6386
Forward Looking Statements
This press release contains “forward-looking
statements” within the meaning of section 27A of the Securities Act of 1933 and section 21E of the Securities Exchange Act of 1934.
The Company has tried to identify such forward-looking statements by use of such words as “expects,” “intends,” “hopes,”
“anticipates,” “believes,” “could,” “may,” “evidences” and “estimates,” and
other similar expressions, but these words are not the exclusive means of identifying such statements.
Important factors that could cause actual results
to differ materially from those indicated by such forward-looking statements are described in the sections titled “Risk Factors”
in the Company’s filings with the SEC, including its most recent Annual Report on Form 20-F as well as reports on Form 6-K, including,
but not limited to the following: statements relating to the Company’s drug development program, including, but not limited to the initiation,
progress and outcomes of clinical trials of the Company’s drug development program, including, but not limited to, ATH434, and any other
statements that are not historical facts. Such statements involve risks and uncertainties, including, but not limited to, those risks
and uncertainties relating to the difficulties or delays in financing, development, testing, regulatory approval, production and marketing
of the Company’s drug components, including, but not limited to, ATH434, the ability of the Company to procure additional future
sources of financing, unexpected adverse side effects or inadequate therapeutic efficacy of the Company’s drug compounds, including, but
not limited to, ATH434, that could slow or prevent products coming to market, the uncertainty of obtaining patent protection for the Company’s
intellectual property or trade secrets, the uncertainty of successfully enforcing the Company’s patent rights and the uncertainty
of the Company freedom to operate.
Any forward-looking statement made by us in
this press release is based only on information currently available to us and speaks only as of the date on which it is made. We undertake
no obligation to publicly update any forward-looking statement, whether written or oral, that may be made from time to time, whether as
a result of new information, future developments or otherwise.
Alterity Therapeutics (NASDAQ:ATHE)
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