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 · 4 exercises

OATES ADRIAN

Filed: 3/6/2019ACC: 0000899243-19-006381

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

8

Total transactions

210K acquired · 210K disposed

Non-Derivative Transactions4

Common Stock

Direct

M · Option Exercise

Shares

+105K

Price / share

—

Trade value

—

% of position

128.3%

2/28/2019

81.84K→186.84K

Common Stock

Direct

M · Option Exercise

Shares

+25K

Price / share

—

Trade value

—

% of position

13.4%

2/28/2019

186.84K→211.84K

Common Stock

Direct

M · Option Exercise

Shares

+40K

Price / share

—

Trade value

—

% of position

18.9%

2/28/2019

211.84K→251.84K

Common Stock

Direct

M · Option Exercise

Shares

+40K

Price / share

—

Trade value

—

% of position

15.9%

2/28/2019

251.84K→291.84K

Total

Net shares

+210K

Net value

$0.00

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	2/28/2019	M · Option Exercise	+105K	—	—	128.3%	81.84K	186.84K
Common Stock Direct	2/28/2019	M · Option Exercise	+25K	—	—	13.4%	186.84K	211.84K
Common Stock Direct	2/28/2019	M · Option Exercise	+40K	—	—	18.9%	211.84K	251.84K
Common Stock Direct	2/28/2019	M · Option Exercise	+40K	—	—	15.9%	251.84K	291.84K
Total			+210K		$0.00

Derivative Transactions4

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

40K shares

Shares

−40K

Strike price

0.00

Held after

0.00

Exercisable

—

2/28/2019

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

40K shares

Shares

−40K

Strike price

0.00

Held after

0.00

Exercisable

—

2/28/2019

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

—

2/28/2019

Stock Option (Right to Buy)

Direct

M · Option Exercise

Converts to

Common Stock

105K shares

Shares

−105K

Strike price

0.00

Held after

0.00

Exercisable

—

2/28/2019

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Stock Option (Right to Buy) Direct	Common Stock40K shares	2/28/2019	M · Option Exercise	−40K	0.00	—	0.00
Stock Option (Right to Buy) Direct	Common Stock40K shares	2/28/2019	M · Option Exercise	−40K	0.00	—	0.00
Stock Option (Right to Buy) Direct	Common Stock25K shares	2/28/2019	M · Option Exercise	−25K	0.00	—	0.00
Stock Option (Right to Buy) Direct	Common Stock105K shares	2/28/2019	M · Option Exercise	−105K	0.00	—	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

728K

Shares owned

728K

Exercise price

0.50

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

100K

Shares owned

100K

Exercise price

1.72

Expiration

—

Exercise window

—

Total

Underlying

921.60K

Owned

921.60K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Stock Option (Right to Buy) Direct	Common Stock	0.50	—	—	728K	728K
Stock Option (Right to Buy) Direct	Common Stock	0.50	—	—	93.60K	93.60K
Stock Option (Right to Buy) Direct	Common Stock	1.72	—	—	100K	100K
Total					921.60K	921.60K

OATES ADRIAN — Insider Transaction (Form 4) Filed Mar 6, 2019 | Finecho