| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | UBI | Common Stock | Purchase | $654K | +897K | +3.29% | $0.73 | 28.1M | Nov 1, 2021 | By Partnership | F1, F2, F5, F6, F7 |
| transaction | UBI | Common Stock | Purchase | $114K | +153K | +0.54% | $0.75 | 28.3M | Nov 3, 2021 | By Partnership | F1, F3, F5, F6, F7 |
| transaction | UBI | Common Stock | Purchase | $247K | +330K | +1.16% | $0.75 | 28.6M | Nov 5, 2021 | By Partnership | F1, F4, F5, F6, F7 |
| holding | UBI | Common Stock | 220K | Nov 1, 2021 | By the Coleman Super Fund | F1, F8 |
| Id | Content |
|---|---|
| F1 | 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. |
| F2 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at a price of $0.730. The Reporting Person undertakes to provide to Universal Biosensors, Inc. ("UBI"), any security holder of UBI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
| F3 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at a price range from $0.745 to $0.750. The Reporting Person undertakes to provide to Universal Biosensors, Inc. ("UBI"), any security holder of UBI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
| F4 | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at a price range from $0.740 to $0.750. The Reporting Person undertakes to provide to Universal Biosensors, Inc. ("UBI"), any security holder of UBI, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4. |
| F5 | The price per share of the common stock reported is stated in Australian dollars, as converted from a U.S. dollar price on the date of the transaction. |
| F6 | 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. 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 held by Strategic Fund, and Strategic Mandates, except to the extent of his pecuniary interest therein. |
| F7 | Viburnum, as the manager of Strategic Fund and Strategic Mandates, may be deemed to beneficially own 28,624,984 shares of common stock, which consists of 12,388,374 and 16,236,610 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. |
| F8 | Craig E. and Phylis Coleman are the trustees of the Coleman Super Fund, of which Mr. Coleman is a potential beneficiary. |