BALAK SALESH (Chief Financial Officer) exercised options at UNIVERSAL BIOSENSORS INC

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 1 exercise

BALAK SALESH

Filed: 12/23/2020ACC: 0001437749-20-025828

InsiderBALAK SALESHCIK 1397500

→

IssuerUNIVERSAL BIOSENSORS INCCIK 1279695

Officer· Chief Financial Officer

Since Nov 2018

0.00

Net shares

Net seller

$0.00

Total acquired

Open market trades

0B · 0S

Total transactions

40K acquired · 40K disposed

Non-Derivative Transactions1

Common Stock

Direct

M · Option Exercise

+40K

Price / share

—

Trade value

—

% of position

17.7%

12/11/2020

226.56K→266.56K

Total

Net shares

+40K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	12/11/2020	M · Option Exercise	+40K	—	—	17.7%	226.56K	266.56K
Total			+40K		$0.00

Derivative Transactions1

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

40K shares

−40K

Strike price

Held after

0.00

Exercisable

—

12/11/2020

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Stock Option (Right to Buy) Direct	Common Stock40K shares	12/11/2020	M · Option Exercise	−40K	0	—	0.00

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)4

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

721K

Shares owned

721K

Exercise price

0.5000

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

40K

Shares owned

40K

Exercise price

0.0000

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

216.30K

Shares owned

216.30K

Exercise price

0.5000

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

500K

Shares owned

500K

Exercise price

0.3000

Expiration

—

Exercise window

—

Total

Underlying

1.48M

Owned

1.48M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	0.5000	—	—	721K	721K
Stock Option (Right to Buy) Direct	Common Stock	0.0000	—	—	40K	40K
Stock Option (Right to Buy) Direct	Common Stock	0.5000	—	—	216.30K	216.30K
Stock Option (Right to Buy) Direct	Common Stock	0.3000	—	—	500K	500K
Total					1.48M	1.48M