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
03/February/2025
The previous notice was given to the company on
02/May/2024
The previous notice was dated
01/May/2024
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)
2,074,681,948
39.55%
2,266,681,474*
41.28%*
*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
04/February/2025
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
Pershing Group LLC
Pershing LLC
print name Andrew Weiser
capacity______ Attorney-In-Fact
9sign here
date
04/February/2025____________
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
9-May-2024
13-May-2024
18-Jul-2024
19-Jul-2024
5-Aug-2024
7-Aug-2024
10-Sep-2024
7-Oct-2024
25-Nov-2024
26-Nov-2024
2-Dec-2024
2-Dec-2024
2-Dec-2024
2-Dec-2024
2-Dec-2024
2-Dec-2024
2-Dec-2024
3-Dec-2024
4-Dec-2024
5-Dec-2024
9-Dec-2024
31-Dec-2024
2-Jan-2025
3-Jan-2025
6-Jan-2025
8-Jan-2025
9-Jan-2025
24-Jan-2025
28-Jan-2025
31-Jan-2025
3-Feb-2025
3-Feb-2025
Print Name -Andrew Weiser
Sign Here
Person whose relevant interest
changed
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
Pershing LLC
Pershing LLC
Pershing LLC
Pershing LLC
Pershing LLC
Pershing LLC
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
The Bank of New York Mellon
Nature of Change
Tranfer Out of securities
Tranfer Out of securities
Deposit of securities
Tranfer Out of securities
Deposit of securities
Deposit of securities
Deposit of securities
Deposit of securities
Tranfer Out of securities
Tranfer Out of securities
Tranfer Out of securities
Purchase
Purchase
Purchase
Sale
Sale
Sale
Tranfer Out of securities
Tranfer Out of securities
Tranfer Out of securities
Tranfer Out of securities
Deposit of securities
Deposit of securities
Deposit of securities
Deposit of securities
Deposit of securities
Deposit of securities
Deposit of securities
Tranfer Out of securities
Deposit of securities
Tranfer Out of securities
Deposit of securities
Capacity - Attorney-In-Fact
Date - 04 February 2025
Consideration given in
relation to change
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
USD 1.51
USD 1.515
USD 1.518
USD 1.51
USD 1.515
USD 1.518
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Class and number of securities affected
(Ordinary Shares)
(2,844,600)
(9,000,000)
75,220,800
(12,000,000)
3,000,000
5,400,000
3,060,000
6,000,000
(2,400,000)
(3,000,000)
(25,318,200)
129 ADRs (converted = 77,400 ord)
187 ADRs (converted = 112,200 ord)
1,000 ADRs (converted = 600,000 ord)
(129) ADRs (converted = 77,400 ord)
(187) ADRs (converted = 112,200 ord)
(999.7894) ADRs (converted = 599,874 ord)
(18,060,000)
(9,000,000)
(15,000,000)
(750,000)
6,000,000
6,000,000
9,000,000
12,402,000
15,000,000
9,900,000
6,000,000
(3,000,000)
3,001,800
(31,854,600)
164,242,200
Person's votes affected
(2,844,600)
(9,000,000)
75,220,800
(12,000,000)
3,000,000
5,400,000
3,060,000
6,000,000
(2,400,000)
(3,000,000)
(25,318,200)
77,400
112,200
600,000
(77,400)
(112,200)
(599,874)
(18,060,000)
(9,000,000)
(15,000,000)
(750,000)
6,000,000
6,000,000
9,000,000
12,402,000
15,000,000
9,900,000
6,000,000
(3,000,000)
3,001,800
(31,854,600)
164,242,200
Annexure C
This is Annexure C of 2 pages 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
Remote Interest Held Under Deposit Agreement
Class and number of securities
2,266,680,748
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)
Relevant interest under section 608(3)(a) and/or
2,266,680,748
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]
Pershing LLC
Relevant interest under sections 608(1) of the
Corporations Act 2001 (Cth) arising from Pershing
LLC being the registered owner of the securities.
726 ordinary shares
BNYMC Group (other than
Pershing LLC)
Relevant interest under section 608(3)(a) and/or
section 608(3)(b) of the Corporations Act 2001 (Cth)
being a relevant interest held through a body
corporate (namely Pershing LLC) 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 2 below]
726 ordinary shares
NOTES:
*Note 1: Of the total of 2,266,681,474 securities in which the BNYMC Group has a relevant interest, BNYM has a
relevant interest in 2,266,680,748 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 2,266,680,748 securities (of which BNYM's power to only dispose of
2,266,680,748 securities is limited – see Note 1), and Pershing LLC in respect of 726 securities, 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 04/February/2025__
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