EX-99.1 2 ea024333101ex99-1_alterity.htm CHANGE IN SUBSTANTIAL HOLDING

Exhibit 99.1

 

604    Page 1 of 2    15 July 2001

 

 

 

Form 604

 

Corporations Act 2001

Section 671B

 

Notice of change of interests of substantial holder

 

 

 

To Company Name/Scheme Alterity Therapeutics Limited
   
ACN/ARSN 080 699 065

 

1.Details of substantial holder (1)

 

NameThe Bank of New York Mellon Corporation (BNYMC) and each Group Entity listed in Annexure A (Group Entity), (together BNYMC Group)
   
 ACN/ARSN (if applicable)

 

There was a change in the interests of the substantial holder on   21/May/2025
     
The previous notice was given to the company on   09/May/2025
     
The previous notice was dated   08/May/2025

 

2.Previous and present voting power

 

The total number of votes attached to all the voting shares in the company or voting interests in the scheme that the substantial holder or an associate (2) had a relevant interest (3) in when last required, and when now required, to give a substantial holding notice to the company or scheme, are as follows:

 

Class of securities (4) Previous notice Present notice
  Person’s votes Voting power (5) Person’s votes Voting power (5)
Ordinary shares 2,373,752,074 26.01% 2,466,998,317* 27.03%*
     

*See Note 1 in

Annexure C

  

 

3.Changes in relevant interests

 

Particulars of each change in, or change in the nature of, a relevant interest of the substantial holder or an associate in voting securities of the company or scheme, since the substantial holder was last required to give a substantial holding notice to the company or scheme are as follows:

 

Date of change

Person whose

relevant interest changed

 Nature of change (6) Consideration given in relation to change (7)

Class and number

of securities affected

 Person’s votes affected

See

Annexure B

          
           
           

 

4.Present relevant interests

 

Particulars of each relevant interest of the substantial holder in voting securities after the change are as follows:

 

Holder of relevant

interest

 Registered holder of securities

Person entitled to be registered as holder

(8)

 Nature of relevant interest (6) Class and number of securities Person’s votes

See Annexure C

          
           
           

 

 

 

 

604    Page 2 of 2    15 July 2001

 

 

 

5.Changes in association

 

The persons who have become associates (2) of, ceased to be associates of, or have changed the nature of their association (9) with, the substantial holder in relation to voting interests in the company or scheme are as follows:

 

Name and ACN/ARSN (if applicable) Nature of association
BNYMC and each Group Entity

Each Group Entity is an associate of BNYMC pursuant to section 12(2)(a) of the Corporations Act 2001 (Cth) as each entity is directly or indirectly owned and controlled by BNYMC.

   

 

6.Addresses

 

The addresses of persons named in this form are as follows:

 

Name Address

The Bank of New York

Mellon Corporation

 240 Greenwich Street, New York, NY 10286 USA
Each Group Entity 240 Greenwich Street, New York, NY 10286 USA

 

 

 

 

Signature

 

print name Andrew Weiser   capacity Attorney-In-Fact
         
sign here /s/ Andrew Weiser   date 22/May/2025

 

 

 

 

Annexure A

 

This is Annexure A of 1 page referred to in Form 604 Notice of Change

of Interests of Substantial Holder given by The Bank of New York

Mellon Corporation and its related bodies corporate.

 

The Bank of New York Mellon Corporation is the ultimate parent company of a corporate group comprised of a large number of operating and holding companies. Details of the entities directly owned and controlled by The Bank of New York Mellon Corporation are listed below.

 

●The Bank of New York Mellon

 

●Pershing Group LLC

 

●Pershing LLC

 

print name Andrew Weiser   capacity Attorney-In-Fact
         
Sign here /s/ Andrew Weiser   date 22/May/2025

 

 

 

 

Annexure B

 

This is Annexure B of 1 page referred to in Form 604 Notice of Change of Interests of Substantial Holder given by The Bank of New York Mellon Corporation and its related bodies corporate

 

Changes in relevant interests

 

Date of change

Person whose relevant interest

changed

 Nature of Change

Consideration given in

relation to change

Class and number of securities affected

(Ordinary Shares)

 Person’s votes affected
9-May-2025 The Bank of New York Mellon Deposit of securities N/A 9,000,000 9,000,000
12-May-2025 The Bank of New York Mellon Deposit of securities N/A 30,000,000 30,000,000
12-May-2025 The Bank of New York Mellon Transfer Out of securities N/A (15,000,000) (15,000,000)
12-May-2025 Pershing LLC Transfer In of securities N/A 0.4042 ADRs (Converted = 243 Ord) 243
13-May-2025 The Bank of New York Mellon Deposit of securities N/A 960,000 960,000
14-May-2025 The Bank of New York Mellon Deposit of securities N/A 33,900,000 33,900,000
15-May-2025 The Bank of New York Mellon Deposit of securities N/A 16,800,000 16,800,000
19-May-2025 The Bank of New York Mellon Deposit of securities N/A 12,000,000 12,000,000
20-May-2025 The Bank of New York Mellon Deposit of securities N/A 486,000 486,000
21-May-2025 The Bank of New York Mellon Deposit of securities N/A 5,100,000 5,100,000

 

Print Name - Andrew Weiser   Capacity - Attorney-In-Fact
         
Sign Here /s/ Andrew Weiser   Date - 22 May 2025

 

 

 

 

Annexure C

 

This is Annexure C of 2 pages referred to in Form 604 Notice of
Change of Interests of Substantial Holder given by The Bank of New
York Mellon Corporation and its related bodies corporate

Present relevant interests

 

Holder of relevant interest Nature of relevant interest Class and number of securities
The Bank of New York Mellon (BNYM)

Remote Interest Held Under Deposit Agreement

 

Relevant interest under section 608(1)(c) of the Corporations Act 2001 (Cth) arising from BNYM having the limited power to dispose of, or control the exercise of a power to dispose of, securities deposited with or held by BNYM (or its custodian or agent) in its capacity as depositary administering an ADR program for Alterity Therapeutics Limited (Company) under the Deposit Agreement dated January 2, 2008 between the Company, holders of American depositary receipts (ADRs) and BNYM (Deposit Agreement). [*See Note 1 below].

2,466,997,348

ordinary shares

BNYMC Group (other than BNYM) Relevant interest under section 608(3)(a) and/or section 608(3)(b) of the Corporations Act 2001 (Cth) being a relevant interest held through a body corporate (namely BNYM) in which the voting power of each other entity in the BNYMC Group is above 20%, or that each other entity in the BNYMC Group controls. [*See Note 1 and Note 2 below]

2,466,997,348

ordinary shares

Pershing LLC Relevant interest under sections 608(1) of the Corporations Act 2001 (Cth) arising from Pershing LLC being the registered owner of the securities. 969 ordinary shares
BNYMC Group (other than Pershing LLC)

Relevant interest under section 608(3)(a) and/or section 608(3)(b) of the Corporations Act 2001 (Cth) being a relevant interest held through a body corporate (namely Pershing LLC) in which the voting power of each other entity in the BNYMC Group is above 20%, or that each other entity in the BNYMC Group controls.

[*See Note 2 below]

 969 ordinary shares

 

 

 

 

 

NOTES:

 

*Note 1: Of the total of 2,466,998,317 securities in which the BNYMC Group has a relevant interest, BNYM has a relevant interest in 2,466,997,348 securities as depositary for Alterity Therapeutics Limited ADR program administered under the Deposit Agreement. BNYM’s relevant interest in these securities arises as a result of the Deposit Agreement containing rights for BNYM to dispose of securities held under the ADR program in limited circumstances. Under the Deposit Agreement, ADR holders retain their rights to dispose of those securities and to give voting instructions for the exercise of voting rights attached to the securities. BNYMC Group’s power to vote or dispose of these securities is qualified accordingly.

 

*Note 2: Each Group Entity is a direct or indirect wholly owned subsidiary of BNYMC, the ultimate parent company. Other than BNYM in respect of 2,466,997,348 securities (of which BNYM’s power to only dispose of 2,466,997,348 securities is limited – see Note 1), and Pershing LLC in respect of 969 securities, none of the BNYMC Group entities are entitled to be registered as holder of the securities and their power to vote or dispose of the securities is qualified accordingly.

 

 

Print Name - Andrew Weiser   Capacity - Attorney-In-Fact
         
Sign Here /s/ Andrew Weiser   Date - 22/May/2025