Sharman John Stewart 4

4 · UNIVERSAL BIOSENSORS INC · Filed Sep 14, 2021

Form 4

Period: 2020-03-24

Chief Executive Officer

Transactions

Gift
Stock Option (Right to Buy)
2020-03-24−1,000,000→ 1,364,666 total
Exercise: $0.20Exp: 2024-03-24→ Common Stock (1,000,000 underlying)
Gift
Stock Option (Right to Buy)
2020-03-24+1,000,000→ 1,000,000 total(indirect: By Spouse)
Exercise: $0.20Exp: 2024-03-24→ Common Stock (1,000,000 underlying)
Award
Performance Rights
2021-08-19+2,500,000→ 2,500,000 total
Exp: 2025-03-24→ Common Stock (2,500,000 underlying)
Award
Performance Rights
2021-08-19+1,250,000→ 1,250,000 total
Exp: 2025-03-24→ Common Stock (1,250,000 underlying)

Holdings

Stock Option (Right to Buy)
Exercise: $0.25Exp: 2025-03-24→ Common Stock (2,364,667 underlying)
2,364,667
Common Stock
(indirect: By Spouse)
276,217
Stock Option (Right to Buy)
Exercise: $0.30Exp: 2025-03-24→ Common Stock (1,364,667 underlying)
1,364,667
Stock Option (Right to Buy)
(indirect: By superannuation fund)
Exercise: $0.30Exp: 2025-03-24→ Common Stock (1,000,000 underlying)
1,000,000

Footnotes (6)

[F1]The reporting person disclaims beneficial ownership of the shares held by his wife, and this report should not be deemed an admission that the reporting person is the beneficial owner of his wife's shares for purposes of Section 16 or for any other purpose.
[F2]The price reported is stated in Australian dollars.
[F3]This transaction involved a gift of securities by the reporting person to his wife, who shares reporting person's household.
[F4]The options are fully vested and became exercisable after September 24, 2020.
[F5]Each performance right represents a contingent right to receive one share of common stock of Universal Biosensors, Inc. ("UBI"). The performance rights vest upon, among other triggers, UBI's market capitalization having achieved a specified threshold.
[F6]Each performance right represents a contingent right to receive one share of common stock of UBI. The performance rights vest upon a change of control transaction with a value greater a specified threshold.

Documents

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