BALAK SALESH

PrivateCIK: 1397500

Location

VICTORIA, C3

BALAK SALESH (Chief Financial Officer) received a stock award from UNIVERSAL BIOSENSORS INC

Compensation award — not an open‑market transaction. Less informative as a directional signal.

A · 1 award

BALAK SALESH

Filed: 1/14/2019ACC: 0000899243-19-001114

InsiderBALAK SALESHCIK 1397500

→

IssuerUNIVERSAL BIOSENSORS INCCIK 1279695

Officer· Chief Financial Officer

Since Nov 2018

+4.17K

Net shares

Net buyer

$0.00

Total acquired

0

Open market trades

0B · 0S

3

Total transactions

29.17K acquired · 25K disposed

Non-Derivative Transactions2

Common Stock

Direct

M · Option Exercise

Shares

+25K

Price / share

—

Trade value

—

% of position

25.2%

11/16/2018

99.06K→124.06K

Common Stock

Direct

A · Award

Shares

+4.17K

Price / share

—

Trade value

—

% of position

3.4%

12/14/2018

124.06K→128.22K

Total

Net shares

+29.17K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	11/16/2018	M · Option Exercise	+25K	—	—	25.2%	99.06K	124.06K
Common Stock Direct	12/14/2018	A · Award	+4.17K	—	—	3.4%	124.06K	128.22K
Total			+29.17K		$0.00

Derivative Transactions1

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

25K shares

Shares

−25K

Strike price

0.00

Held after

0.00

Exercisable

—

11/16/2018

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Stock Option (Right to Buy) Direct	Common Stock25K shares	11/16/2018	M · Option Exercise	−25K	0.00	—	0.00

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)7

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

73.33K

Shares owned

73.33K

Exercise price

0.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

40K

Shares owned

40K

Exercise price

0.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

721K

Shares owned

721K

Exercise price

0.50

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

216.30K

Shares owned

216.30K

Exercise price

0.50

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

25K

Shares owned

25K

Exercise price

0.00

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

100K

Shares owned

100K

Exercise price

1.72

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

40K

Shares owned

40K

Exercise price

0.00

Expiration

—

Exercise window

—

Total

Underlying

1.22M

Owned

1.22M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	0.00	—	—	73.33K	73.33K
Stock Option (Right to Buy) Direct	Common Stock	0.00	—	—	40K	40K
Stock Option (Right to Buy) Direct	Common Stock	0.50	—	—	721K	721K
Stock Option (Right to Buy) Direct	Common Stock	0.50	—	—	216.30K	216.30K
Stock Option (Right to Buy) Direct	Common Stock	0.00	—	—	25K	25K
Stock Option (Right to Buy) Direct	Common Stock	1.72	—	—	100K	100K
Stock Option (Right to Buy) Direct	Common Stock	0.00	—	—	40K	40K
Total					1.22M	1.22M

BALAK SALESH — Insider Transaction (Form 4) Filed Jan 14, 2019 | Finecho