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Late CDI notice sends Anteris Technologies (NASDAQ: AVR) to court

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
8-K

Rhea-AI Filing Summary

On July 31, 2026, Anteris Technologies Global Corp. requested a trading halt in its securities on the Australian Securities Exchange under Listing Rule 17.1 from the commencement of that day’s trading. Trading on The Nasdaq Global Market and The Nasdaq Stock Market is stated to be not impacted.

The company also reports that on July 10, 2026, 44,068 CHESS Depositary Interests (CDIs) were issued following the exercise of certain November 2025 warrants. Due to an administrative oversight, a cleansing notice required under section 708A(6) of the Corporations Act 2001 was not lodged within the prescribed 5 business days. Anteris intends to lodge the cleansing notice now and apply to the Federal Court for relief under section 1322, including an extension of time. The company states that the oversight is not considered price sensitive, that it did not possess excluded information at the time of issue, and that the issued CDIs have been sold.

Positive

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Negative

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Filing Explained

The company reports that the July 10, 2026 warrant exercise resulted in 44,068 issued CDIs; the additional issuance reduces existing holders’ percentage ownership absent offsetting changes, while the cleansing notice and requested Federal Court relief remain pending.

Item 7.01 Regulation FD Disclosure Disclosure
Material non-public information disclosed under Regulation Fair Disclosure, often investor presentations or guidance.
Item 9.01 Financial Statements and Exhibits Exhibits
Financial statements, pro forma financial information, and exhibit attachments filed with this report.
CDIs Issued 44,068 CDIs Issued on July 10, 2026 following exercise of certain November 2025 warrants
Cleansing Notice Window 5 business days Statutory period for lodging cleansing notice under section 708A(6) of the Corporations Act
Relief Provision section 1322 Corporations Act section under which Federal Court relief will be sought
Trading Halt Date 31 July 2026 Date from which an ASX trading halt in the company’s securities was requested
trading halt regulatory
"requests a trading halt in the Company’s securities from the commencement of trading"
A trading halt is a temporary pause on buying and selling a particular stock imposed by an exchange or regulator, like pressing the pause button on a game so everyone can catch up. It is used to give the market time to absorb important new information or to prevent chaotic price swings, and matters to investors because it freezes the ability to trade, delays price discovery, and can change risk and strategy until normal trading resumes.
CHESS Depositary Interests financial
"44,068 CHESS Depositary Interests (CDIs) were issued following the exercise"
CHESS depositary interests are tradable certificates used on the Australian settlement system that represent ownership of underlying foreign shares held by a custodian. They let investors buy and sell foreign-listed stocks on the local exchange as if they were domestic shares, simplifying trading, dividend collection and record-keeping, though they may involve custodian fees and can alter certain direct shareholder rights and tax treatments.
cleansing notice regulatory
"a cleansing notice under section 708A(6) of the Corporations Act 2001"
Corporations Act 2001 (Cth) regulatory
"a cleansing notice under section 708A(6) of the Corporations Act 2001 (Cth)"
The Corporations Act 2001 (Cth) is Australia’s federal law that sets the rules for forming, running and regulating companies, including duties of directors, financial reporting, takeovers and insolvency. For investors, it matters because it creates the legal framework that ensures companies disclose accurate financial information, treats shareholders fairly and imposes penalties for wrongful conduct — much like a rulebook and referee that keeps markets transparent and reduces the risk of fraud.
excluded information regulatory
"the Company did not possess excluded information (as defined in section 708A(7)"

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FAQ

What trading action did Anteris Technologies (AVR) take on July 31, 2026?
Anteris Technologies requested a trading halt in its securities on the Australian Securities Exchange from the commencement of trading on July 31, 2026, under Listing Rule 17.1. The company states that trading on The Nasdaq Global Market and The Nasdaq Stock Market is not impacted.

How many CDIs did Anteris Technologies (AVR) issue on July 10, 2026?
Anteris issued 44,068 CHESS Depositary Interests (CDIs) on July 10, 2026, following the exercise of certain November 2025 warrants. The company later identified an administrative oversight related to the required cleansing notice for this CDI issuance.

Why is Anteris Technologies (AVR) seeking Federal Court relief?
Anteris plans to seek Federal Court relief under section 1322 of the Corporations Act because a cleansing notice for 44,068 CDIs was not lodged within the prescribed 5 business days. The company will request an extension of time deeming the notice effective from the CDIs’ issue date.

What cleansing notice issue did Anteris Technologies (AVR) disclose?
The company disclosed that, due to an administrative oversight, a cleansing notice under section 708A(6) for 44,068 CDIs was not lodged within the required 5 business days. Anteris intends to lodge the notice despite the delay and to seek related court orders.

Did the CDI cleansing notice oversight affect Anteris Technologies (AVR) trading on Nasdaq?
Anteris states that trading on The Nasdaq Global Market and The Nasdaq Stock Market is not impacted by the CDI cleansing notice oversight. The issue and the remedial steps primarily concern Australian regulatory requirements for CHESS Depositary Interests.

How does Anteris Technologies (AVR) view the price sensitivity of the oversight?
Anteris states that it does not consider the oversight to be price sensitive and that it did not possess excluded information, as defined in section 708A(7) of the Corporations Act, at the time the 44,068 CDIs were issued and later sold.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM 8-K


CURRENT REPORT
Pursuant to Section 13 OR 15(d)
of The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): July 31, 2026


Anteris Technologies Global Corp.
(Exact name of registrant as specified in its charter)


Delaware
001-42437
99-1407174
(State or Other Jurisdiction of Incorporation)
(Commission File Number)
(I.R.S. Employer Identification No.)

Toowong Tower, Level 3, Suite 302
9 Sherwood Road
Toowong, QLD
Australia
  
4066
(Address of Principal Executive Offices)
  
(Zip Code)

Registrant’s telephone number, including area code: +61 7 3152 3200

Not Applicable
(Former name or former address, if changed since last report)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class
  
Trading
Symbol(s)
  
Name of each exchange
on which registered
Common Stock, par value $0.0001 per share
  
AVR
  
The Nasdaq Global Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 7.01.
Regulation FD Disclosure

On July 31, 2026, Anteris Technologies Global Corp. (the “Company”) submitted the materials attached as Exhibits 99.1 and 99.2 to the Australian Securities Exchange. Trading on The Nasdaq Global Market is not impacted.

The information contained in this Current Report on Form 8-K, including the exhibit attached hereto, is being furnished and shall not be deemed to be filed for the purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”), or incorporated by reference into any filing under the Securities Act of 1933 or the Exchange Act, unless such subsequent filing specifically references this Current Report on Form 8-K.

Item 9.01.
Financial Statements and Exhibits.

(d) Exhibits.

The following exhibits are filed with this Current Report on Form 8-K:

Exhibit
No.
  
Description
99.1
  
Anteris Technologies Global Corp. (ASX:AVR) – Request for trading halt under ASX Listing Rule 17.1
     
99.2
  
ASX Announcement regarding certain regulatory matters relating to the issuance of CHESS Depositary Interests
     
104
  
Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 
Anteris Technologies Global Corp.
   
Date: July 31, 2026
    
     
 
By:
/s/ Wayne Paterson
 
Name:
Wayne Paterson
 
Title:
Vice Chairman and Chief Executive Officer


Exhibit 99.1
 
Attention: Ms. Monique Burley
ASX Listings Compliance
Level 40, Central Park
152-158 St Georges Terrace
Perth WA 6000

By email:
monique.burley@asx.com.au;
TradingHaltsPerth@asx.com.au

31 July 2026

Dear Ms. Burley,

Anteris Technologies Global Corp. (ASX:AVR) – request for trading halt under ASX Listing Rule 17.1

Pursuant to ASX Listing Rule 17.1, Anteris Technologies Global Corp. (the Company) requests a trading halt in the Company’s securities from the commencement of trading on 31 July 2026.
 
In accordance with ASX Listing Rule 17.1, the Company advises:
 

 •
the trading halt is requested pending its consideration of an inadvertent non-lodgement of cleansing notices in relation to an issue of CHESS Depositary Interests in the Company (CDIs), within five business days of the issue of CDIs, in respect of which the Company intends to seek relief from the Federal Court of Australia (Relief Application);
 

 •
the trading halt is requested to apply until the earlier of such time the Company makes an announcement regarding the outcome of the Relief Application and the commencement of normal trading on ASX on 4 August 2026; and
 

 •
the Company is not aware of any reason why the trading halt should not be granted or of any other information necessary to inform the market or ASX about the trading halt.
 
Yours sincerely,
  
   
/s/ Wayne Paterson
  
   
Wayne Paterson,
  
Vice Chairman and Chief Executive Officer
  
Anteris Technologies Global Corp.
  

 

860 Blue Gentian Road,
Suite 340
Eagan, MN, 55121
United States
T: +1 651 493 0606
info.us@anteristech.com
Anteris Technologies Global Corp.
BRISBANE | MINNEAPOLIS | GENEVA | MALAGA
Toowong Tower, Level 3, Suite 302
9 Sherwood Road, Toowong
QLD 4066, Australia
T: +61 1300 550 310 info.au@anteristech.com
ARBN: 677 960 235
anteristech.com
Exhibit 99.2


Cleansing Notice Update
 
MINNEAPOLIS, United States and BRISBANE, Australia July 31, 2026: Anteris Technologies Global Corp. (Anteris or the Company) (NASDAQ: AVR, ASX: AVR) advises that on July 10, 2026, 44,068 CHESS Depositary Interests (CDIs) were issued following the exercise of certain November 2025 warrants. Due to an administrative oversight, a cleansing notice under section 708A(6) of the Corporations Act 2001 (Cth) (Corporations Act) was not lodged within the prescribed 5 business day period.  Anteris intends to lodge a cleansing notice today in relation to the issue of the CDIs notwithstanding it is outside of the prescribed period.
 
Anteris understands the CDIs issued have been sold.
 
Anteris will submit an application to the Federal Court shortly seeking orders for relief under section 1322 of the Corporations Act and seeking an extension of time to lodge the cleansing notice, deeming it to be effective from the date of issue of the relevant CDIs.
 
The Company does not consider the oversight to be price sensitive and the Company did not possess excluded information (as defined in section 708A(7) of the Corporations Act) at the time of issue of the CDIs.
 
Anteris will keep the market informed as to the progress of the application.
 
Trading on The Nasdaq Stock Market is not impacted.
 
ENDS
 
Authorisation and Additional information
 
This announcement was authorised for release on the ASX by the Chief Executive Officer.
 
For more information:
 
Global Investor Relations
Investor Relations (US)
investors@anteristech.com
mchatterjee@bplifescience.com
Debbie Ormsby
Malini Chatterjee, Ph.D.
Anteris Technologies Global Corp.
Blueprint Life Science Group
+61 1300 550 310 | +61 7 3152 3200
+1 917 330 4269

Website
www.anteristech.com
X
@AnterisTech
LinkedIn
https://www.linkedin.com/company/anteristech



860 Blue Gentian Road,
Suite 340
Eagan, MN, 55121
United States
T: +1 651 493 0606
info.us@anteristech.com
Anteris Technologies Global Corp.
Toowong Tower, Level 3, Suite 302
9 Sherwood Road, Toowong
QLD 4066, Australia
T: +61 1300 550 310 info.au@anteristech.com
ARBN: 677 960 235
BRISBANE | MINNEAPOLIS | GENEVA | MALAGA
anteristech.com

Source: View Original Filing on SEC EDGAR

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