Oates Adrian 4
4 · UNIVERSAL BIOSENSORS INC · Filed Jan 14, 2019
Insider Transaction Report
Form 4
Oates Adrian
VP, Quality & Regulatory
Transactions
- Exercise/Conversion
Stock Option (Right to Buy)
2018-11-16−25,000→ 0 totalExercise: $0.00Exp: 2018-11-17→ Common Stock (25,000 underlying) - Exercise/Conversion
Common Stock
2018-11-16+25,000→ 81,837 total
Holdings
- 40,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2020-12-11→ Common Stock (40,000 underlying) - 100,000
Stock Option (Right to Buy)
Exercise: $1.72Exp: 2019-11-09→ Common Stock (100,000 underlying) - 40,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2022-01-29→ Common Stock (40,000 underlying) - 105,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2019-06-28→ Common Stock (105,000 underlying) - 93,600
Stock Option (Right to Buy)
Exercise: $0.50Exp: 2024-02-27→ Common Stock (93,600 underlying) - 728,000
Stock Option (Right to Buy)
Exercise: $0.50Exp: 2023-04-20→ Common Stock (728,000 underlying) - 25,000
Stock Option (Right to Buy)
Exercise: $0.00Exp: 2019-11-12→ Common Stock (25,000 underlying)
Footnotes (10)
- [F1]The price is stated in Australian dollars.
- [F10]Includes (i) 76,307 shares in the form of CDIs Dr. Oates holds directly and (ii) 5,530 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 vested and became 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. All these options were exercised on 11/16/2018.
- [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.
- [F7]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.
- [F8]93,600 options vested and became exercisable on December 31, 2017.
- [F9]208,000 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.