OATES ADRIAN

PrivateCIK: 1432802

Location

ROWVILLE VICTORIA, C3

OATES ADRIAN (See Remarks) exercised options at UNIVERSAL BIOSENSORS INC

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

M · 1 exercise

OATES ADRIAN

Filed: 1/14/2019ACC: 0000899243-19-001109

InsiderOATES ADRIANCIK 1432802

→

IssuerUNIVERSAL BIOSENSORS INCCIK 1279695

Officer· See Remarks

Since Nov 2018

0.00

Net shares

Net seller

$0.00

Total acquired

0

Open market trades

0B · 0S

2

Total transactions

25K acquired · 25K disposed

Non-Derivative Transactions1

Common Stock

Direct

M · Option Exercise

Shares

+25K

Price / share

—

Trade value

—

% of position

44.0%

11/16/2018

56.84K→81.84K

Total

Net shares

+25K

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	—	—	44.0%	56.84K	81.84K
Total			+25K		$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

100K

Shares owned

100K

Exercise price

1.72

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

105K

Shares owned

105K

Exercise price

0.00

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

93.60K

Shares owned

93.60K

Exercise price

0.50

Expiration

—

Exercise window

—

Stock Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

728K

Shares owned

728K

Exercise price

0.50

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

40K

Shares owned

40K

Exercise price

0.00

Expiration

—

Exercise window

—

Total

Underlying

1.13M

Owned

1.13M

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	1.72	—	—	100K	100K
Stock Option (Right to Buy) Direct	Common Stock	0.00	—	—	105K	105K
Stock Option (Right to Buy) Direct	Common Stock	0.00	—	—	25K	25K
Stock Option (Right to Buy) Direct	Common Stock	0.50	—	—	93.60K	93.60K
Stock Option (Right to Buy) Direct	Common Stock	0.50	—	—	728K	728K
Stock Option (Right to Buy) Direct	Common Stock	0.00	—	—	40K	40K
Stock Option (Right to Buy) Direct	Common Stock	0.00	—	—	40K	40K
Total					1.13M	1.13M

OATES ADRIAN — Insider Transaction (Form 4) Filed Jan 14, 2019 | Finecho