Oates Adrian 4

4 · UNIVERSAL BIOSENSORS INC · Filed Mar 6, 2019

Insider Transaction Report

Form 4

Period: 2019-02-28

UNIVERSAL BIOSENSORS INCUBI

Oates Adrian

VP, Quality & Regulatory

Transactions

Exercise/Conversion
Common Stock
2019-02-28+105,000→ 186,837 total
Exercise/Conversion
Stock Option (Right to Buy)
2019-02-28−105,000→ 0 total
Exercise: $0.00Exp: 2019-06-28→ Common Stock (105,000 underlying)
Exercise/Conversion
Common Stock
2019-02-28+25,000→ 211,837 total
Exercise/Conversion
Common Stock
2019-02-28+40,000→ 251,837 total
Exercise/Conversion
Common Stock
2019-02-28+40,000→ 291,837 total
Exercise/Conversion
Stock Option (Right to Buy)
2019-02-28−40,000→ 0 total
Exercise: $0.00Exp: 2022-01-29→ Common Stock (40,000 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2019-02-28−40,000→ 0 total
Exercise: $0.00Exp: 2020-12-11→ Common Stock (40,000 underlying)
Exercise/Conversion
Stock Option (Right to Buy)
2019-02-28−25,000→ 0 total
Exercise: $0.00Exp: 2019-11-12→ Common Stock (25,000 underlying)

Holdings

Stock Option (Right to Buy)
Exercise: $0.50Exp: 2024-02-27→ Common Stock (93,600 underlying)
93,600
Stock Option (Right to Buy)
Exercise: $0.50Exp: 2023-04-20→ Common Stock (728,000 underlying)
728,000
Stock Option (Right to Buy)
Exercise: $1.72Exp: 2019-11-09→ Common Stock (100,000 underlying)
100,000

Footnotes (9)

[F1]The price is stated in Australian dollars.
[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. These options were all exercised on 02/28/2019.
[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. These options were all exercised on 02/28/2019.
[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. These options were all exercised on 02/28/2019.
[F5]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.
[F6]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. These options were all exercised on 02/28/2019.
[F7]93,600 options vested and became exercisable on December 31, 2017.
[F8]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.
[F9]Includes shares in the form of CDIs Dr. Oates holds directly.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION