ATHE director files initial Form 3

ALTERITY THERAPEUTICS LTD director Julian Michael Babarczy filed an initial Form 3, which is a required disclosure of insider holdings.

Accepted by SEC EDGAR 04/10/2026 - 08:16 AM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

ALTERITY THERAPEUTICS LTD director Julian Michael Babarczy filed an initial Form 3, which is a required disclosure of insider holdings. The filing lists him as a director but shows no reportable transactions, exercises, gifts, or restructurings and no derivative positions in this snapshot.

Key Terms

Form 3, derivative positions, Rule 10b5-1 trading plans

3 terms

Form 3 regulatory

"INSIDER FILING DATA (Form 3):"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

derivative positions financial

"and no derivative positions in this snapshot"

Derivative positions are contracts that derive their value from an underlying asset—such as a stock, bond, currency or commodity—and include instruments like options, futures and swaps. Think of them as bets or insurance tied to an asset’s future price: they let investors amplify returns, hedge risk or take exposure without owning the asset directly, which can meaningfully increase potential gains, losses and volatility in a portfolio.

Rule 10b5-1 trading plans regulatory

"Footnotes may reference Rule 10b5-1 trading plans or pre-arranged trading arrangements"

Rule 10b5-1 trading plans are written, pre-arranged instructions that allow company insiders (such as executives or directors) to automatically buy or sell their company's stock at specified times or under set conditions, like a standing instruction or automated thermostat for trades. They matter to investors because these plans provide a legal defense against insider‑trading accusations and create predictable insider trading patterns that can help signal whether sales are routine portfolio management or potentially meaningful to the company’s outlook.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the ALTERITY THERAPEUTICS (ATHE) Form 3 filing show?

The Form 3 shows that Julian Michael Babarczy is a director of ALTERITY THERAPEUTICS LTD. It is an initial insider ownership report and, in this instance, does not disclose any buy, sell, or other reportable equity transactions or derivative positions.

Did Julian Michael Babarczy trade ATHE shares in this Form 3?

No trades are reported in this Form 3 for Julian Michael Babarczy. The transaction summary shows zero buys, zero sells, zero exercises, and zero gifts, indicating no reportable transactions are included in this particular insider ownership statement.

What is the role of the reporting person in ATHE’s Form 3?

The reporting person, Julian Michael Babarczy, is identified as a director of ALTERITY THERAPEUTICS LTD. This status triggers Section 16 reporting obligations, including filing an initial Form 3 and future Form 4 or Form 5 updates if he later reports transactions.

Are there any derivative securities disclosed for ATHE in this Form 3?

The derivative section of this Form 3 is empty, and the derivative transaction count is zero. That means no options, warrants, or other derivative securities are reported for the director in this particular filing snapshot of his insider position.

Does the ATHE Form 3 mention Rule 10b5-1 trading plans?

The contextual notes reference that footnotes can describe Rule 10b5-1 trading plans, but no specific plan is detailed here. The footnotes section is effectively empty, so no pre-arranged trading arrangements are disclosed for the reporting director in this filing.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Understanding Insider Trading Forms →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Babarczy Julian Michael

(Last) (First) (Middle)

SUITE 4, LEVEL 14

350 COLLINS STREET

(Street)

MELBOURNE VICTORIA 3000

(City) (State) (Zip)

AUSTRALIA

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
04/10/2026

3. Issuer Name and Ticker or Trading Symbol
ALTERITY THERAPEUTICS LTD [ ATHE ]

3a. Foreign Trading Symbol
[ATH.ASX]

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	Julian Michael Babarczy	04/10/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)