Filing Details

Accession Number:
0001437749-22-015093
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-06-15 18:17:08
Reporting Period:
2022-06-09
Accepted Time:
2022-06-15 18:17:08
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1279695 Universal Biosensors Inc UBI Surgical & Medical Instruments & Apparatus (3841) 980424072
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1678533 E. Craig Coleman 1 Corporate Avenue
Victoria C3 3178
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2022-06-09 25,000 $0.38 303,620 No 4 P Indirect By the Coleman Super Fund
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By the Coleman Super Fund
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 55,798,601 Indirect By Partnership
Stock Option (Right To Buy-Exercise Price $0.20) 1,000,000 Indirect By Partnership
Stock Option (Right To Buy-Exercise Price $0.92) 1,920,000 Indirect By Partnership
Stock Option (Right To Buy-Exercise Price $1.00) 1,920,000 Indirect By Partnership
Footnotes
  1. Traded as Chess Depository Interests ("CDIs") on the Australian Stock Exchange. CDIs represent beneficial interests in the common stock held by CHESS Depository Nominees Pty Ltd.
  2. The price reported is stated in Australian dollars.
  3. The Reporting Person is a director of Viburnum, which is the manager of each of VF Strategic Equities Fund ("Strategic Fund") and separately managed accounts on behalf of a Viburnum client ("Strategic Mandates") the direct beneficial owners of the common stock and stock options. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the common stock and stock options held by Strategic Fund, and Strategic Mandates, except to the extent of his pecuniary interest therein.
  4. Viburnum, as the manager of Strategic Fund and Strategic Mandates, may be deemed to beneficially own 55,798,601 shares of common stock, which consists of 25,937,600 and 29,861,001 shares of common stock held by Strategic Fund and Strategic Mandates, respectively. Viburnum, as the manager of each of Strategic Fund and Strategic Mandates, shares voting and dispositive power over, and may be deemed to beneficially own, the common stock held by the foregoing entities. The Reporting Person shares voting and dispositive power over, and may be deemed to beneficially own, the common stock held by the foregoing entities due to the Reporting Person serving as a director of Viburnum.
  5. Craig E. and Phylis Coleman are the trustees of the Coleman Super Fund, of which Mr. Coleman is a potential beneficiary.
  6. Viburnum, as the manager of Strategic Fund may be deemed to beneficially own 1,000,000 stock options which an exercise price of A$0.20 and expiry date of 03/24/2024.
  7. Viburnum, as the manager of Strategic Fund and Strategic Mandates, may be deemed to beneficially own 1,920,000 stock options which an exercise price of A$0.92 and expiry date of 05/26/2025.
  8. Viburnum, as the manager of Strategic Fund and Strategic Mandates, may be deemed to beneficially own 1,920,000 stock options which an exercise price of A$1.00 and expiry date of 05/26/2025.