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Director in Alterity Therapeutics (ATHE) reports multi-million share and option holdings

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

Rhea-AI Filing Summary

ALTERITY THERAPEUTICS LTD director Lawrence Bernard Gozlan has filed an initial Form 3 showing his indirect holdings in the company. The filing reports 4,545,455 ordinary shares held indirectly through Montoya Pty Ltd <Buttercup A/C>.

He also indirectly holds listed options over 1,515,152 ordinary shares with a conversion price of $0.028 per share, expiring on 26 February 2027, and unlisted options over 50,000,000 ordinary shares with a conversion price of $0.010 per share, expiring on 30 December 2027. The Form 3 records these positions as existing holdings rather than new market purchases or sales.

Positive

  • None.

Negative

  • None.
Insider Gozlan Lawrence Bernard
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 — 1,515,152 shares (Indirect, Montoya Pty Ltd <Buttercup A/C>); Unlisted option exp 30 Dec 2027 — 50,000,000 shares (Indirect, Montoya Pty Ltd <Buttercup A/C>); Ordinary shares — 4,545,455 shares (Indirect, Montoya Pty Ltd <Buttercup A/C>)
Footnotes (1)
Indirect ordinary shares 4,545,455 shares Indirect holdings via Montoya Pty Ltd <Buttercup A/C>
Listed options underlying 1,515,152 shares Options expiring 26 Feb 2027, exercise price $0.028
Listed option exercise price $0.028 per share Conversion or exercise price for listed options
Unlisted options underlying 50,000,000 shares Options expiring 30 Dec 2027, exercise price $0.010
Unlisted option exercise price $0.010 per share Conversion or exercise price for unlisted options
Form 3 regulatory
"The Form 3 records these positions as existing holdings rather than new market purchases or sales."
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.
listed option financial
"He also indirectly holds listed options over 1,515,152 ordinary shares with a conversion price of $0.028 per share."
unlisted option financial
"and unlisted options over 50,000,000 ordinary shares with a conversion price of $0.010 per share."
indirect ownership financial
"The filing reports 4,545,455 ordinary shares held indirectly through Montoya Pty Ltd <Buttercup A/C>."
exercise price financial
"with a conversion price of $0.028 per share, expiring on 26 February 2027"
The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.
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*
Gozlan Lawrence Bernard
(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 shares4,545,455IMontoya Pty Ltd <Buttercup 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 shares1,515,152$0.028IMontoya Pty Ltd <Buttercup A/C>
Unlisted option exp 30 Dec 202704/10/202612/30/2027Ordinary shares50,000,000$0.01IMontoya Pty Ltd <Buttercup A/C>
Explanation of Responses:
Lawrence Bernard Gozlan04/10/2026
** 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 ATHE Form 3 filed by Lawrence Bernard Gozlan show?

The Form 3 shows initial beneficial ownership for director Lawrence Bernard Gozlan in Alterity Therapeutics. It lists his indirect holdings of ordinary shares and options through Montoya Pty Ltd <Buttercup A/C>, without reporting any new market purchases or sales.

How many Alterity Therapeutics (ATHE) ordinary shares does Gozlan indirectly hold?

The filing reports 4,545,455 ordinary shares of Alterity Therapeutics indirectly held by Gozlan through Montoya Pty Ltd <Buttercup A/C>. This reflects his existing equity position at the time of the Form 3, rather than a newly executed transaction.

What listed options are reported for Gozlan in the ATHE Form 3?

The Form 3 lists listed options expiring 26 February 2027 over 1,515,152 underlying ordinary shares, with a conversion or exercise price of $0.028 per share. These options are held indirectly via Montoya Pty Ltd <Buttercup A/C>.

What unlisted options does Gozlan have in Alterity Therapeutics (ATHE)?

Gozlan indirectly holds unlisted options expiring 30 December 2027 over 50,000,000 underlying ordinary shares of Alterity Therapeutics. The Form 3 states a conversion or exercise price of $0.010 per share for these options, held through Montoya Pty Ltd <Buttercup A/C>.

Does the ATHE Form 3 indicate any insider buying or selling by Gozlan?

The Form 3 records holdings only and shows unknown transaction codes, with no buy or sell counts. It functions as an initial statement of beneficial ownership, not as a disclosure of recent market purchases or sales of ATHE securities.