Change in substantial holding
Released
Released
Announcement PDF
604
Page 1 of 2 15 July 2001
Form 604
Corporations Act 2001
Section 671B
Notice of change of interests of substantial holder
To Company Name/Scheme
Alterity Therapeutics Limited
ACN/ARSN
080 699 065
1. Details of substantial holder (1)
The Bank of New York Mellon Corporation (BNYMC) and each Group
Entity listed in Annexure A (Group Entity),(together BNYMC Group)
Name
ACN/ARSN (if applicable)
There was a change in the interests of the
substantial holder on
08/January/2024
The previous notice was given to the company on
21/December/2023
The previous notice was dated
20/December/2023
2. Previous and present voting power
The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or
an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the
company or scheme, are as follows:
Class of securities (4)
Ordinary shares
Previous notice
Present notice
Person’s votes
Voting power (5)
Person’s votes
Voting power (5)
1,588,872,148
56.70%
1,594,069,348
41.82%
*See Note 1
in Annexure C
3. Changes in relevant interests
Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of
the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are
as follows:
Date of
change
Person whose
relevant interest
changed
Nature of change (6)
Consideration given in
relation to change (7)
Class and number
of securities
affected
Person's votes
affected
See
Annexure
B
4. Present relevant interests
Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:
Holder of
relevant
interest
See
Annexure
C
Registered holder
of securities
Person entitled to be
registered as holder
(8)
Nature of relevant
interest (6)
Class and number
of securities
Person's votes
604
Page 2 of 2 15 July 2001
5. Changes in association
The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the
substantial holder in relation to voting interests in the company or scheme are as follows:
Name and ACN/ARSN (if applicable)
Nature of association
BNYMC and each Group
Entity
Each Group Entity is an associate of BNYMC pursuant to
section 12(2)(a) of the Corporations Act 2001 (Cth) as each
entity is directly or indirectly owned and controlled by
BNYMC.
6. Addresses
The addresses of persons named in this form are as follows:
Name
Address
The Bank of New York
Mellon Corporation
240 Greenwich Street, New York, NY 10286 USA
Each Group Entity
240 Greenwich Street, New York, NY 10286 USA
Signature
print name
sign here
Andrew Weiser
capacity
Attorney-In-Fact
date
09/January/2024
Annexure A
This is Annexure A of 1 page referred to in Form 604 Notice of Change of
Interests of Substantial Holder given by The Bank of New York Mellon
Corporation and its related bodies corporate
The Bank of New York Mellon Corporation is the ultimate parent company of a corporate group comprised of a large
number of operating and holding companies. Details of the entities directly owned and controlled by The Bank of
New York Mellon Corporation are listed below.
The Bank of New York Mellon
print name Andrew Weiser
capacity______ Attorney-In-Fact
sign here
date
09/January/2024_____________
Annexure B
This is Annexure B of 1 page referred to in Form 604 Notice of Change of Interests of Substantial Holder given by
The Bank of New York Mellon Corporation and its related bodies corporate
Changes in relevant interests
Date of change
Person whose relevant interest
changed
Nature of Change
Consideration given in
relation to change
8-Jan-2024
The Bank of New York Mellon
Deposit of securities
N/A
Print Name - Andrew Weiser
Sign Here
Capacity - Attorney-In-Fact
Date - 09 January 2024
Class and number of
securities affected
(Ordinary Shares)
5,197,200
Person's votes
affected
5,197,200
Annexure C
This is Annexure C of 1 page referred to in Form 604 Notice of Change of
Interests of Substantial Holder given by The Bank of New York Mellon
Corporation and its related bodies corporate
Present relevant interests
Holder of relevant interest
The Bank of New York
Mellon (BNYM)
Nature of relevant interest
Class and number of securities
Remote Interest Held Under Deposit Agreement
1,594,069,348
ordinary shares
Relevant interest under section 608(1)(c) of the
Corporations Act 2001 (Cth) arising from BNYM
having the limited power to dispose of, or control the
exercise of a power to dispose of, securities deposited
with or held by BNYM (or its custodian or agent) in its
capacity as depositary administering an ADR program
for Alterity Therapeutics Limited (Company) under
the Deposit Agreement dated January 2, 2008
between the Company, holders of American
depositary receipts (ADRs) and BNYM (Deposit
Agreement). [*See Note 1 below].
BNYMC Group (other than
BNYM)
1,594,069,348
Relevant interest under section 608(3)(a) and/or
section 608(3)(b) of the Corporations Act 2001 (Cth) ordinary shares
being a relevant interest held through a body
corporate (namely BNYM) in which the voting power of
each other entity in the BNYMC Group is above 20%,
or that each other entity in the BNYMC Group controls.
[*See Note 1 and Note 2 below]
NOTES:
*Note 1: Of the total of 1,594,069,348 securities in which the BNYMC Group has a relevant interest, BNYM has a
relevant interest in 1,594,069,348 securities as depositary for Alterity Therapeutics Limited ADR
program administered under the Deposit Agreement. BNYM's relevant interest in these securities arises
as a result of the Deposit Agreement containing rights for BNYM to dispose of securities held under the
ADR program in limited circumstances. Under the Deposit Agreement, ADR holders retain their rights to
dispose of those securities and to give voting instructions for the exercise of voting rights attached to the
securities. BNYMC Group's power to vote or dispose of these securities is qualified accordingly.
*Note 2: Each Group Entity is a direct or indirect wholly owned subsidiary of BNYMC, the ultimate parent
company. Other than BNYM in respect of 1,594,069,348 securities (of which BNYM's power to only
dispose of 1,594,069,348 securities is limited – see Note 1), none of the BNYMC Group entities are
entitled to be registered as holder of the securities and their power to vote or dispose of the securities is
qualified accordingly.
print name Andrew Weiser
capacity_ Attorney-In-Fact
sign here
date 09/January/2024__
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