Form Type: 4

SEC EDGAR Link
Acccession Number:0001144204-19-044319
Date:2019-09-11
Issuer: UNIVERSAL BIOSENSORS INC (UBI)
Original Submission Date:

Reporting Person:

COLEMAN CRAIG E.
1 CORPORATE AVENUE
VICTORIA, C3 3178

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-09-11 P 1,710,683 a $0.19 33,630,445 indirect f5,f6
COMMON STOCK 2019-09-12 P 80,000 a $0.19 33,710,445 indirect f5,f6
COMMON STOCK 0 $0.00 220,000 indirect f7
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 traded as chess depository interests ("cdis") on the australian stock exchange. cdis represent beneficial interests in the common stock held by chess depository nominees pty ltd.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at a price of $0.19. the reporting person undertakes to provide to universal biosensors, inc. ("ubi"), any security holder of ubi, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this form 4.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $0.190 to $0.195, inclusive. the reporting person undertakes to provide to universal biosensors, inc. ("ubi"), any security holder of ubi, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this form 4.
f4 the price per share of the common stock reported is stated in australian dollars, as converted from a u.s. dollar price on the date of the transaction.
f5 the reporting person is a director of viburnum funds pty ltd ("viburnum"), which is the manager of each of vf strategic equities fund ("strategic fund") and vf high conviction fund ("conviction fund"), the direct beneficial owners of the common stock. the reporting person disclaims beneficial ownership within the meaning of section 16 of the securities exchange act of 1934, as amended, or otherwise of the common stock held by strategic fund and conviction fund, except to the extent of his pecuniary interest therein.
f6 viburnum, as the manager of strategic fund and conviction fund, may be deemed to beneficially own 33,710,445 shares of common stock, which consists of 21,882,335 and 11,828,110 shares of common stock held by strategic fund and conviction fund, respectively. viburnum, as the manager of each of strategic fund and conviction fund, shares voting and dispositive power over, and may be deemed to beneficially own, the common stock held by the foregoing entities. the reporting person shares voting and dispositive power over, and may be deemed to beneficially own, the common stock held by the foregoing entities due to the reporting person serving as a director of viburnum.
f7 craig e. and phylis coleman are the trustees of the coleman super fund, of which mr. coleman is a potential beneficiary.

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