Form 6-K GENETIC TECHNOLOGIES For: Nov 28
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FORM�6-K
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE
SECURITIES EXCHANGE ACT OF 1934
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dated November�28, 2014
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Commission File Number 0-51504
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GENETIC TECHNOLOGIES LIMITED
(Exact Name as Specified in its Charter)
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N/A
(Translation of Registrant�s Name)
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60-66 Hanover Street
Fitzroy
Victoria 3065 Australia
(Address of principal executive offices)
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Indicate by check mark whether the registrant files or will file annual reports under cover of Form�20-F or Form�40-F.
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Form�20-F x |
Form�40-F o |
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Indicate by check mark if the registrant is submitting the Form�6-K in paper as permitted by Regulation S-T Rule�101(b)(1): o
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Indicate by check mark if the registrant is submitting the Form�6-K in paper as permitted by Regulation S-T Rule�101(b)(7): o
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Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule�12g3-2(b)�under the Securities Exchange Act of 1934.
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Yes o |
No x |
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If �Yes� is marked, indicate below the file number assigned to the registrant in connection with Rule�12g3-2(b):� Not applicable.
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SIGNATURES
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Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused the Report to be signed on its behalf by the undersigned, thereunto duly authorized.
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Date:� November�28, 2014
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GENETIC TECHNOLOGIES LIMITED | ||
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By: |
/s/ Bronwyn Christie | |
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Name: |
Bronwyn Christie |
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Title: |
Company Secretary |
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EXHIBIT�INDEX
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Exhibit |
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Description�of�Exhibit |
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99.1 |
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ASX Announcement, November�27, 2014 |
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99.2 |
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ASX Announcement, November�28, 2014 |
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Exhibit�99.1
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ASX ANNOUNCEMENT
27 November�2014
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Ironridge Converts Remaining Redeemable Convertible Note
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Melbourne, Australia, 27 November�2014:� Molecular diagnostics company Genetic Technologies Limited (ASX: GTG; NASDAQ: GENE, �Company�) is pleased to advise that the Company has today received the final conversion notice, from Ironridge BioPharma Co., a division of institutional investor,�Ironridge Global IV,�Ltd. (�Ironridge�), requesting the conversion of the last remaining USD 200,000 of the USD 5 million Redeemable Convertible Note (the �Note�)
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The Note, originally issued to Ironridge on 23 December�2013, will be fully converted within the next two days.
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FOR FURTHER INFORMATION PLEASE CONTACT
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Ms.�Alison Mew |
Mr.�Eutillio Buccilli |
Candice Knoll (USA) |
Chief Executive Officer |
Chief Operating Officer�& |
Blueprint Life Science Group |
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Chief Financial Officer |
+1 (415) 375 3340, Ext. 105 |
Genetic Technologies Limited |
Genetic Technologies Limited |
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+61 3 8412 7009 |
+ 61 3 8412 7050 |
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About Genetic Technologies Limited
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Genetic Technologies was an early pioneer in recognizing important new applications for �non-coding� DNA (Deoxyribonucleic Acid).� The Company has since been granted patents in 24 countries around the world, securing intellectual property rights for particular uses of non-coding DNA in genetic analysis and gene mapping across all genes in all species.� Its business strategy is the global commercialization of its patents through an active out-licensing program and the global expansion of its oncology and cancer management diagnostics portfolio.� Genetic Technologies is an ASX and NASDAQ listed company with operations in the USA and Australia. For more information, please visit www.gtglabs.com.
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Safe Harbor Statement
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Any statements in this press release that relate to the Company�s expectations are forward-looking statements, within the meaning of the Private Securities Litigation Reform Act.� The Private Securities Litigation Reform Act of 1995 (PSLRA) implemented several significant substantive changes affecting certain cases brought under the federal securities laws, including changes related to pleading, discovery, liability, class representation and awards fees.� Since this information may involve risks and uncertainties and are subject to change at any time, the Company�s actual results may differ materially from expected results.� Additional risks associated with Genetic Technologies� business can be found in its periodic filings with the SEC.
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Exhibit�99.2
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ASX ANNOUNCEMENT
28 November�2014
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ASX Appendices 3Z
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Following recent changes to the Board of Genetic Technologies Limited (ASX: GTG; NASDAQ: GENE, (�Company�), the Company provides the attached ASX Appendices 3Z for outgoing Directors Prof. Ian McKenzie and Dr.�Mervyn Cass.
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FOR FURTHER INFORMATION PLEASE CONTACT
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Ms.�Alison Mew |
Mr.�Eutillio Buccilli |
Candice Knoll (USA) |
Chief Executive Officer |
Chief Operating Officer�& |
Blueprint Life Science Group |
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Chief Financial Officer |
+1 (415) 375 3340, Ext. 105 |
Genetic Technologies Limited |
Genetic Technologies Limited |
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+61 3 8412 7009 |
+ 61 3 8412 7050 |
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About Genetic Technologies Limited
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Genetic Technologies was an early pioneer in recognizing important new applications for �non-coding� DNA (Deoxyribonucleic Acid).� The Company has since been granted patents in 24 countries around the world, securing intellectual property rights for particular uses of non-coding DNA in genetic analysis and gene mapping across all genes in all species.� Its business strategy is the global commercialization of its patents through an active out-licensing program and the global expansion of its oncology and cancer management diagnostics portfolio.� Genetic Technologies is an ASX and NASDAQ listed company with operations in the USA and Australia. For more information, please visit www.gtglabs.com.
�
Safe Harbor Statement
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Any statements in this press release that relate to the Company�s expectations are forward-looking statements, within the meaning of the Private Securities Litigation Reform Act.� The Private Securities Litigation Reform Act of 1995 (PSLRA) implemented several significant substantive changes affecting certain cases brought under the federal securities laws, including changes related to pleading, discovery, liability, class representation and awards fees.� Since this information may involve risks and uncertainties and are subject to change at any time, the Company�s actual results may differ materially from expected results.� Additional risks associated with Genetic Technologies� business can be found in its periodic filings with the SEC.
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Genetic Technologies Limited � Website: www.gtglabs.com � Email: [email protected]� ABN 17 009 212 328
Registered Office � 60-66 Hanover Street Fitzroy Victoria 3065 Australia � Postal Address P.O.�Box 115 Fitzroy Victoria 3065 Australia
Phone +61 3 8412 7000 � Fax +61 3 8412 7040
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Appendix 3Z
Final Director�s Interest Notice
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Rule�3.19A.3
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Appendix 3Z
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Final Director�s Interest Notice
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Information or documents not available now must be given to ASX as soon as available.� Information and documents given to ASX become ASX�s property and may be made public.
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Introduced 30/9/2001.
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Name of entity |
Genetic Technologies Limited |
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ABN |
17 009 212 328 |
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We (the entity) give ASX the following information under listing rule�3.19A.3 and as agent for the director for the purposes of section 205G of the Corporations Act.
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Name of director |
Ian Farquhar Campbell McKenzie |
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Date of last notice |
29 November�2013 |
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Date that director ceased to be director |
25 November�2014 |
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Part�1 � Director�s relevant interests in securities of which the director is the registered holder
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In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
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Note: In the case of a company, interests which come within paragraph (i)�of the definition of �notifiable interest of a director� should be disclosed in this part.
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Number�& class of securities
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None
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Part�2 � Director�s relevant interests in securities of which the director is not the registered holder
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Note: In the case of a company, interests which come within paragraph (ii)�of the definition of �notifiable interest of a director� should be disclosed in this part.
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In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
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Name of holder�& nature of interest |
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Number�& class of securities |
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Note: Provide details of the circumstances giving rise to the relevant interest |
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None |
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+ See chapter 19 for defined terms.
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11/3/2002
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Part�3 � Director�s interests in contracts
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Detail of contract |
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Nature of interest |
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Name of registered holder (if issued securities) |
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No.�and class of securities to which interest relates |
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Dated: 25 November�2014
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+ See chapter 19 for defined terms.
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Appendix 3Z
Final Director�s Interest Notice
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Rule�3.19A.3
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Appendix 3Z
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Final Director�s Interest Notice
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Information or documents not available now must be given to ASX as soon as available.� Information and documents given to ASX become ASX�s property and may be made public.
�
Introduced 30/9/2001.
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Name of entity |
Genetic Technologies Limited |
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ABN |
17 009 212 328 |
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We (the entity) give ASX the following information under listing rule�3.19A.3 and as agent for the director for the purposes of section 205G of the Corporations Act.
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Name of director |
Dr.�Mervyn Cass |
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Date of last notice |
30 September�2011 |
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Date that director ceased to be director |
25 November�2014 |
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Part�1 � Director�s relevant interests in securities of which the director is the registered holder
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In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
�
Note: In the case of a company, interests which come within paragraph (i)�of the definition of �notifiable interest of a director� should be disclosed in this part.
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Number�& class of securities
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None
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Part�2 � Director�s relevant interests in securities of which the director is not the registered holder
�
Note: In the case of a company, interests which come within paragraph (ii)�of the definition of �notifiable interest of a director� should be disclosed in this part.
�
In the case of a trust, this includes interests in the trust made available by the responsible entity of the trust
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Name of holder�& nature of interest |
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Number�& class of securities |
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Note: Provide details of the circumstances giving rise to the relevant interest |
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Cassen Nominees Pty. Ltd. |
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577,834 fully paid ordinary shares |
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Member / Beneficiary |
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+ See chapter 19 for defined terms.
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11/3/2002
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