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Alterity Therapeutics (ATHE) director reports significant option holdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Alterity Therapeutics director Peter Ashley Marks filed an initial Form 3 reporting his beneficial holdings in the company. He indirectly holds 1,818,182 Ordinary shares through Shanti Capital Pty Ltd <Peter Marks Super Fund A/C>. He also holds listed options over 606,061 Ordinary shares with a conversion price of $0.028 per share expiring on 26 Feb 2027, and unlisted options over 30,000,000 Ordinary shares with a conversion price of $0.010 per share expiring on 30 Dec 2027.

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Insider Marks Peter Ashley
Role Director
Type Security Shares Price Value
holding Listed option exp 26 Feb 2027 -- -- --
holding Unlisted option exp 30 Dec 2027 -- -- --
holding Ordinary shares -- -- --
Holdings After Transaction: Listed option exp 26 Feb 2027 — 606,061 shares (Indirect, Shanti Capital Pty Ltd <Peter Marks Super Fund A/C>); Unlisted option exp 30 Dec 2027 — 30,000,000 shares (Direct); Ordinary shares — 1,818,182 shares (Indirect, Shanti Capital Pty Ltd <Peter Marks Super Fund A/C>)
Footnotes (1)
Indirect Ordinary shares 1,818,182 shares Indirect holdings via Shanti Capital Pty Ltd <Peter Marks Super Fund A/C>
Listed option underlying shares 606,061 shares Listed option expiring 26 Feb 2027 over Ordinary shares
Listed option exercise price $0.028/share Conversion or exercise price for listed option expiring 26 Feb 2027
Unlisted option underlying shares 30,000,000 shares Unlisted option expiring 30 Dec 2027 over Ordinary shares
Unlisted option exercise price $0.010/share Conversion or exercise price for unlisted option expiring 30 Dec 2027
Form 3 regulatory
"filed an initial Form 3 reporting his beneficial holdings in the company"
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.
beneficial holdings financial
"filed an initial Form 3 reporting his beneficial holdings in the company"
Ordinary shares financial
"He indirectly holds 1,818,182 Ordinary shares through Shanti Capital Pty Ltd"
Ordinary shares are a type of ownership stake in a company, giving shareholders a right to participate in the company’s profits and decision-making through voting. They are similar to owning a piece of a business, and their value can rise or fall based on the company's performance. Investors buy ordinary shares to potentially earn dividends and benefit from the company's growth over time.
listed options financial
"He also holds listed options over 606,061 Ordinary shares with a conversion price"
unlisted options financial
"and unlisted options over 30,000,000 Ordinary shares with a conversion price"
indirect ownership financial
"He indirectly holds 1,818,182 Ordinary shares through Shanti Capital Pty Ltd"
Understanding Insider Trading Forms →
SEC Form 3
FORM 3UNITED 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*
Marks Peter Ashley
(Last)(First)(Middle)
SUITE 4, LEVEL 14
350 COLLINS STREET
(Street)
MELBOURNEVICTORIA3000
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
Ordinary shares1,818,182IShanti Capital Pty Ltd <Peter Marks Super Fund A/C>
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 ExercisableExpiration DateTitleAmount or Number of Shares
Listed option exp 26 Feb 202704/10/202602/26/2027Ordinary shares606,061$0.028IShanti Capital Pty Ltd <Peter Marks Super Fund A/C>
Unlisted option exp 30 Dec 202704/10/202612/30/2027Ordinary shares30,000,000$0.01D
Explanation of Responses:
Peter Ashley Marks04/10/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What does the Alterity Therapeutics (ATHE) Form 3 filing show for Peter Ashley Marks?

The Form 3 shows director Peter Ashley Marks’ initial beneficial ownership in Alterity Therapeutics, including 1,818,182 Ordinary shares held indirectly and significant option positions over additional Ordinary shares with defined exercise prices and expiration dates.

How many Alterity Therapeutics (ATHE) Ordinary shares does Peter Ashley Marks hold?

Peter Ashley Marks indirectly holds 1,818,182 Ordinary shares of Alterity Therapeutics through Shanti Capital Pty Ltd <Peter Marks Super Fund A/C>. This position is reported as part of his initial beneficial ownership on the Form 3 filing as a company director.

What listed options in ATHE does Peter Ashley Marks report on Form 3?

He reports listed options expiring 26 Feb 2027 over 606,061 Ordinary shares of Alterity Therapeutics, with a conversion or exercise price of $0.028 per share. These options are held indirectly through Shanti Capital Pty Ltd <Peter Marks Super Fund A/C>.

What unlisted options in Alterity Therapeutics (ATHE) does Peter Ashley Marks hold?

He holds unlisted options expiring 30 Dec 2027 over 30,000,000 Ordinary shares of Alterity Therapeutics at a conversion or exercise price of $0.010 per share. These options are reported as directly held in the Form 3 filing.

Does the ATHE Form 3 filing show any recent buying or selling by Peter Ashley Marks?

The Form 3 is an initial beneficial ownership report and lists holdings rather than explicit purchases or sales. Transaction codes are shown as unknown, and the filing focuses on existing share and option positions instead of new trading activity.