# EDGAR Filing Document

**Accession Number:** 0001131343
**File Stem:** 0001213900-23-020414
**Filing Date:** 2023-3
**Character Count:** 9300
**Document Hash:** 4f55146650d7850391da98d8faa1186f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-020414.hdr.sgml**: 20230316

**ACCESSION NUMBER**: 0001213900-23-020414

**CONFORMED SUBMISSION TYPE**: 6-K

**PUBLIC DOCUMENT COUNT**: 4

**CONFORMED PERIOD OF REPORT**: 20230316

**FILED AS OF DATE**: 20230316

**DATE AS OF CHANGE**: 20230316

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALTERITY THERAPEUTICS LTD
- **CENTRAL INDEX KEY:** 0001131343
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** C3
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** 6-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-49843
- **FILM NUMBER:** 23737034

**BUSINESS ADDRESS:**
- **STREET 1:** LEVEL 3, 460 BOURKE STREET
- **CITY:** MELBOURNE
- **STATE:** C3
- **ZIP:** VIC 3000
- **BUSINESS PHONE:** 61 3 9349 4906

**MAIL ADDRESS:**
- **STREET 1:** LEVEL 3, 460 BOURKE STREET
- **CITY:** MELBOURNE
- **STATE:** C3
- **ZIP:** VIC 3000

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PRANA BIOTECHNOLOGY LTD
- **DATE OF NAME CHANGE:** 20010105

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 6-K**

**REPORT OF FOREIGN PRIVATE ISSUER**

**PURSUANT TO RULE 13a-16 OR 15d-163**

**UNDER THE SECURITIES EXCHANGE ACT OF 1934**

**For the month of March 2023**

**Alterity Therapeutics Limited**

(Name of Registrant)

**Level 3, 460 Bourke Street, Melbourne, VIC 3000, Australia**

(Address of Principal Executive Office)

**Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.**

Form 20-F ☒ Form 40-F ☐

**Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): __**

**Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): __**

**Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.**

Yes ☐ No ☒

**If "Yes" is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): 82- _____**

**This Form 6-K is being incorporated by reference into our Registration Statement on Form S-8 (Files No. [333-251073](http://www.sec.gov/Archives/edgar/data/1131343/000121390020040485/ea130838-s8_alteritytherape.htm), [333-248980](http://www.sec.gov/Archives/edgar/data/1131343/000121390020027969/ea127207-s8_alteritytherap.htm) and [333-228671](http://www.sec.gov/Archives/edgar/data/1131343/000114420418063081/tv508429_s-8.htm)) and our Registration Statements on Form F-3 (Files No. [333-251647](http://www.sec.gov/Archives/edgar/data/1131343/000121390020044324/ea132148-f3_alteritytherape.htm), [333-249311](http://www.sec.gov/Archives/edgar/data/1131343/000121390020030109/ea127808-f3_alterityther.htm), [333-231417](http://www.sec.gov/Archives/edgar/data/1131343/000114420419025615/tv521271_f3.htm) and [333-250076](http://www.sec.gov/Archives/edgar/data/1131343/000121390020036934/ea129831-f3_alteritytherap.htm))**

ALTERITY THERAPEUTICS LIMITED

(a development stage enterprise)

The following exhibits are submitted:

99.1 [Application for quotation of securities - ATH](ea175318ex99-1_alterity.htm)

**<u>SIGNATURE</u>**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

---

| | |
|:---|:---|
| **Alterity Therapeutics Limited** | **Alterity Therapeutics Limited** |
| /s/ Geoffrey P. Kempler | /s/ Geoffrey P. Kempler |
| By: | Geoffrey P. Kempler |
|  | Chairman |

---

Date: March 16, 2023

## Exhibit 99.1

**Exhibit 99.1**

---

| | |
|:---|:---|
| ![](ex99-1_002.jpg) | Application for quotation of +securities |

---

Announcement Summary <br>  

**Entity name**

ALTERITY THERAPEUTICS LIMITED

**Announcement Type**

New announcement

**Date of this announcement**

Thursday March 16, 2023

**The +securities to be quoted are:**

![](ex99-1_001.jpg) +Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B

**Total number of +securities to be quoted**

---

| | | | | | |
|:---|:---|:---|:---|:---|:---|
| **ASX +security code** | **Security description** | **Number of +securities to be quoted** | **Number of +securities to be quoted** | **Issue date** | **Issue date** |
| ATH | ORDINARY FULLY PAID |  | 23479200 |  | 15/03/2023 |

---

Refer to next page for full details of the announcement

Application for quotation of +securities 1 / 6

---

| | |
|:---|:---|
| ![](ex99-1_002.jpg) | Application for quotation of +securities |

---

Part 1 - Entity and announcement details <br>  

**1.1** **Name of entity**

ALTERITY THERAPEUTICS LIMITED

We (the entity named above) apply for +quotation of the following +securities and agree to the matters set out in Appendix 2A of the ASX Listing Rules.

---

| | |
|:---|:---|
| **1.2 Registered Number Type** | **Registration Number** |
| ABN | 37080699065 |

---

**1.3 ASX issuer code**

ATH

**1.4** **The announcement is**

![](ex99-1_001.jpg)New announcement

**1.5** **Date of this announcement**

16/3/2023

Application for quotation of +securities 2 / 6

---

| | |
|:---|:---|
| ![](ex99-1_002.jpg) | Application for quotation of +securities |

---

Part 2 - Type of Issue <br>  

**2.1** **The +securities to be quoted are:**

![](ex99-1_001.jpg) +Securities issued as part of a transaction or transactions previously announced to the market in an Appendix 3B

**Previous Appendix 3B details:**

---

| | | |
|:---|:---|:---|
| **Announcement Date and Time** | **Announcement Title** | **Selected Appendix 3B to submit quotation request** |
| 15-Mar-2023 15:39 | New - Proposed issue of securities - ATH | &nbsp;&nbsp;A placement or other type of issue |

---

**2.3a.2 Are there any further issues of +securities yet to take place to complete the transaction(s) referred to in the Appendix 3B?**

![](ex99-1_001.jpg) No

Application for quotation of +securities 3 / 6

---

| | |
|:---|:---|
| ![](ex99-1_002.jpg) | Application for quotation of +securities |

---

Part 3A - number and type of +securities to be quoted where issue has previously been notified to ASX in an Appendix 3B <br>

**Placement Details**

**ASX +security code and description**

ATH : ORDINARY FULLY PAID

**Issue date**

15/3/2023

Distribution Schedule

**Provide a distribution schedule for the new +securities according to the categories set out in the left hand column - including the number of recipients and the total percentage of the new +securities held by the recipients in each category.**

---

| | | |
|:---|:---|:---|
| <br>**Number of +securities held** | <br>**Number of holders** | **Total percentage of +securities held <br> For example, to enter a value of 50% <br> please input as 50.00** |
| 1 - 1000% |  |  |
| <br>1001 - 5000% |  |  |
| <br>5001 - 10000% |  |  |
| <br>10001 - 100000% |  |  |
| <br>100,001 and over% |  |  |

---

Application for quotation of +securities 4 / 6

---

| | |
|:---|:---|
| ![](ex99-1_002.jpg) | Application for quotation of +securities |

---

Issue details

**Number of +securities to be quoted**

23,479,200

**Are the +securities being issued for a cash consideration?**

Yes

---

| | |
|:---|:---|
| **In what currency is the cash consideration being paid?** | **What is the issue price per +security?** |
| AUD - Australian Dollar | AUD 0.00760000 |

---

Any other information the entity wishes to provide about the +securities to be quoted

Application for quotation of +securities 5 / 6

---

| | |
|:---|:---|
| ![](ex99-1_002.jpg) | Application for quotation of +securities |

---

Part 4 - Issued capital following quotation <br>  

**Following the quotation of the +securities the subject of this application, the issued capital of the entity will comprise:**

**(A discrepancy in these figures compared to your own may be due to a matter of timing if there is more than one application for quotation/issuance currently with ASX for processing.)**

**4.1** **Quoted +securities (total number of each +class of +securities quoted on ASX following the +quotation of the +securities subject of this application)**

---

| | |
|:---|:---|
| **ASX +security code and description** | **Total number of <br>+securities on issue** |
| ATH : ORDINARY FULLY PAID | 2439897618 |

---

**4.2** **Unquoted +securities (total number of each +class of +securities issued but not quoted on ASX)**

---

| | |
|:---|:---|
| **ASX +security code and description** | **Total number of**<br> **+securities on issue** |
| ATHAAE : OPTION EXPIRING 29-NOV-2026 EX $0.0375 | 19250000 |
| <br>ATHAAF : OPTION EXPIRING 31-JUL-2024 EX $0.07 | 12000000 |
| <br>ATHAAG : OPTION EXPIRING 29-NOV-2026 EX $0.0238 | 13900000 |
| <br>ATHAAB : OPTION EXPIRING 17-SEP-2025 EX $0.09 | 35000000 |
| <br>ATHAAC : OPTION EXPIRING 23-NOV-2023 EX $0.07 | 674694939 |
| <br>ATHAAD : OPTION EXPIRING 06-JAN-2026 EX $0.032 | 91392720 |

---

Application for quotation of +securities 6 / 6