SEC Form 3 filed by new insider Coffey Steven R. S.
$KZIA
Biotechnology: Pharmaceutical Preparations
Health Care
| FORM 3 | UNITED 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 |
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1. Name and Address of Reporting Person*
(Street)
(Country) | 2. Date of Event Requiring Statement
(Month/Day/Year) 03/18/2026 | 3. Issuer Name and Ticker or Trading Symbol
KAZIA THERAPEUTICS LTD [ KZIA ] | |||||||||||||||
| 3a. Foreign Trading Symbol
| 5. If Amendment, Date of Original Filed
(Month/Day/Year) | ||||||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| 6. Individual or Joint/Group Filing (Check Applicable Line)
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| 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 Shares | 16,000 | D | |
| 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 Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| American Depositary Share Option (Right to Buy) | (1) | 04/30/2027 | American Depositary Shares(2)(3) | 1,000 | $0.3348 | D | |
| American Depositary Share Option (Right to Buy) | (4) | 07/03/2027 | American Depositary Shares(2)(3) | 75,000 | $8 | D | |
| American Depositary Shares | (3) | (3) | Ordinary Shares | 845 | (3) | I | See footnote(5) |
| American Depositary Shares | (3) | (3) | Ordinary Shares | 1,122 | (3) | I | See footnote(6) |
| Explanation of Responses: |
| 1. The American Depositary Shares ("ADSs") subject to the option ("ADS option") vest in equal quarterly installments over three years beginning on April 30, 2024, subject to the Reporting Person's continuous service relationship with the Issuer through each applicable vesting date. The ADS option was granted on April 30, 2024. |
| 2. Each ADS option is convertible into ADSs upon exercise. |
| 3. Each ADS may be represented by 500 ordinary shares of the Issuer, no par per share (the "Ordinary Shares"), at any time, upon the holder's election to surrender the ADSs and withdraw the respective number of Ordinary Shares. The ADSs have no expiration date. |
| 4. The ADSs subject to the ADS option vested as to 100% on July 3, 2025. The ADS option was granted on July 3, 2025. |
| 5. The ADSs are held directly by Coffey Family Investments Pty Limited, of which the Reporting Person is a director. The Reporting Person disclaims beneficial ownership of these securities, except to the extent, if any, of his pecuniary interest therein, and the filing of this Form 3 is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| 6. The ADSs are held directly by Fortune 501 Pty Limited. The Reporting Person disclaims beneficial ownership of these securities, except to the extent, if any, of his pecuniary interest therein, and the filing of this Form 3 is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Remarks: |
| Exhibit 24 - Power of Attorney |
| /s/ Jeffrey Bonacorda, Attorney-in-Fact | 03/18/2026 | |
| ** Signature of Reporting Person | Date | |
| 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) | ||