Craig E. Coleman - Nov 11, 2022 Form 4 Insider Report for UNIVERSAL BIOSENSORS INC (UBI)

Role
Director, 10%+ Owner
Signature
/s/ David St. Quintin, as attorney-in-fact
Stock symbol
UBI
Transactions as of
Nov 11, 2022
Transactions value $
$36,500
Form type
4
Date filed
11/16/2022, 06:32 AM
Previous filing
Aug 18, 2022
Next filing
Sep 13, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction UBI Common Stock Purchase $12.5K +50K +9.93% $0.25* 554K Nov 11, 2022 By the Coleman Super Fund F1, F2, F5
transaction UBI Common Stock Purchase $19.7K +82.2K +14.84% $0.24* 636K Nov 15, 2022 By the Coleman Super Fund F1, F2, F5
transaction UBI Common Stock Purchase $4.28K +17.8K +2.81% $0.24* 654K Nov 16, 2022 By the Coleman Super Fund F1, F2, F5
holding UBI Common Stock 55.8M Nov 11, 2022 By Partnership F1, F3, F4
holding UBI Stock Option (Right to Buy - Exercise Price $0.20) 1M Nov 11, 2022 By Partnership F2, F3, F6
holding UBI Stock Option (Right to Buy - Exercise Price $0.92) 1.92M Nov 11, 2022 By Partnership F2, F3, F7
holding UBI Stock Option (Right to Buy - Exercise Price $1.00) 1.92M Nov 11, 2022 By Partnership F2, F3, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

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 is stated in Australian dollars.
F3 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.
F4 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 22,169,559 and 33,629,042 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.
F5 Craig E. and Phylis Coleman are the trustees of the Coleman Super Fund, of which Mr. Coleman is a potential beneficiary.
F6 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.
F7 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.
F8 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.