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: 9/14/2021ACC: 0001437749-21-022139

InsiderBALAK SALESHCIK 1397500

→

IssuerUNIVERSAL BIOSENSORS INCCIK 1279695

Officer· Chief Financial Officer

Since Nov 2018

+750K

Net shares

Net buyer

$0.00

Total acquired

Open market trades

0B · 0S

Total transactions

790K acquired · 40K disposed

Non-Derivative Transactions1

Common Stock

Direct

M · Option Exercise

+40K

Price / share

—

Trade value

—

% of position

15.0%

8/19/2021

266.56K→306.56K

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	8/19/2021	M · Option Exercise	+40K	—	—	15.0%	266.56K	306.56K
Total			+40K		$0.00

Derivative Transactions3

Performance Rights

Direct

A · Award

Converts to

Common Stock

500K shares

+500K

Strike price

Held after

500K

Exercisable

—

8/19/2021

Performance Rights

Direct

A · Award

Converts to

Common Stock

250K shares

+250K

Strike price

Held after

250K

Exercisable

—

8/19/2021

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

40K shares

−40K

Strike price

Held after

0.00

Exercisable

—

8/19/2021

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Performance Rights Direct	Common Stock500K shares	8/19/2021	A · Award	+500K		—	500K
Performance Rights Direct	Common Stock250K shares	8/19/2021	A · Award	+250K		—	250K
Stock Option (Right to Buy) Direct	Common Stock40K shares	8/19/2021	M · Option Exercise	−40K	0	—	0.00

Non-Derivative Holdings (Post-Transaction)0

No non-derivative holdings reported

Derivative Holdings (Post-Transaction)3

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

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

721K

Shares owned

721K

Exercise price

0.5000

Expiration

—

Exercise window

—

Total

Underlying

1.44M

Owned

1.44M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
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
Stock Option (Right to Buy) Direct	Common Stock	0.5000	—	—	721K	721K
Total					1.44M	1.44M