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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>WASHINGTON, DC 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT> </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>PURSUANT TO SECTION&nbsp;13 OR 15(D) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>OF THE SECURITIES EXCHANGE ACT OF 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of report (Date of earliest event reported) February&nbsp;8, 2019 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Universal Biosensors, Inc. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact Name of Registrant as Specified in Its Charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
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<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">000-52607</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">98-0424072</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or Other Jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of Incorporation)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(IRS Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR></TABLE>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>1 Corporate Avenue</B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Rowville, 3178, Victoria</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Australia</B></P></TD>
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<TD VALIGN="top" ALIGN="center"><B>(Address of Principal Executive Offices)</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>(Zip Code)</B></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>+61 3 9213 9000 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Registrant&#146;s Telephone Number, Including Area Code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Not Applicable </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Former
Name or Former Address, if Changed Since Last Report) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Check the
appropriate box below if the Form <FONT STYLE="white-space:nowrap">8-K</FONT> filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (<I>see</I> General Instruction A.2. below):
</P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </P></TD></TR></TABLE>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to Rule <FONT STYLE="white-space:nowrap">14a-12</FONT> under the Exchange Act (17
CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">14d-2(b)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">13e-4(c)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933
(&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Emerging growth
company&nbsp;&nbsp;&#9744; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">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.&nbsp;&nbsp;&#9744; </P> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;1.01. Entry into a Material Definitive Agreement. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">As previously disclosed by Universal Biosensors, Inc. (the &#147;<B>Company</B>&#148;), the Company&#146;s wholly-owned operating subsidiary,
Universal Biosensors Pty Ltd (&#147;<B>UBS</B>&#148;) (the Company and UBS collectively referred to as &#147;UBI&#148;), and Siemens Healthcare Diagnostics Inc. (&#147;<B>Siemens</B>&#148;) are parties to: </P>
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<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">a Collaboration Agreement dated September&nbsp;9, 2011, as amended on September&nbsp;20, 2012 (the
&#147;<B>Collaboration Agreement</B>&#148;) (a copy of which was incorporated by reference to our Quarterly Report on Form <FONT STYLE="white-space:nowrap">10-Q</FONT> filed on November&nbsp;3, 2011 as Exhibit 10.20), pursuant to which the parties
are collaborating in the development of coagulation-related test strip products (the &#147;<B>Original Products</B>&#148;), and associated readers for the Original Products (the &#147;<B>Readers</B>&#148;) for commercialization by Siemens in the
hospital <FONT STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap">point-of-care</FONT></FONT> and ambulatory care coagulation markets; </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">a Supply Agreement dated September&nbsp;20, 2012, pursuant to which UBS will manufacture and supply the Original
Products to Siemens (the &#147;<B>Supply Agreement&#148;)</B> (a copy of which is incorporated by reference to our Quarterly Report on Form <FONT STYLE="white-space:nowrap">10-Q/A</FONT> filed on February&nbsp;4, 2013 as Exhibit 10.2);
</P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="5%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">a letter agreement titled &#147;Supplemental Agreement &#150; Reader Product Support Obligations and
Responsibilities&#148; dated September&nbsp;20, 2012 (the &#147;<B>Reader Letter</B>&#148;) (a copy of which was incorporated by reference to our Quarterly Report on Form <FONT STYLE="white-space:nowrap">10-Q/A</FONT> filed on February&nbsp;4, 2013
as Exhibit 10.3); </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">a letter agreement dated December&nbsp;12, 2014 (the &#147;<B>December 2014 Letter</B>&#148;); and
</P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="5%">&nbsp;</TD>
<TD WIDTH="2%" VALIGN="top" ALIGN="left">&#149;</TD>
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<TD ALIGN="left" VALIGN="top"> <P ALIGN="left" STYLE=" margin-top:0pt ; margin-bottom:0pt; font-family:Times New Roman; font-size:10pt">a letter agreement titled &#147;Conditional Prepayment of Milestones and other amendments&#148; dated
March&nbsp;9, 2016 (the &#147;<B>Prepayment Letter</B>&#148;) (a copy of which was incorporated by reference to our Quarterly Report on Form <FONT STYLE="white-space:nowrap">10-Q</FONT> filed on April&nbsp;21, 2016 as Exhibit 10.2).
</P></TD></TR></TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On February&nbsp;8, 2019, UBI and Siemens entered into a term sheet agreement (the &#147;<B>Term Sheet
Agreement</B>&#148;) with respect to the following matters: </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Term Sheet Agreement provides that UBI and Siemens have agreed to
negotiate in good faith for a specified period (subject to extension if mutually agreed) (the &#147;<B>Negotiation Period</B>&#148;) possible modifications to their commercial relationship, including the Collaboration and the Supply Agreements. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Under the Term Sheet Agreement, and to facilitate their negotiations, UBI has agreed not to make any dividend payments or similar
distributions, or engage in M&amp;A transactions (subject to an exception which would allow the Company or UBS to enter into M&amp;A transactions where the directors of the Company determine, in good faith, that not proceeding with such a
transaction would be inconsistent with their fiduciary duties). </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Under the Term Sheet Agreement, and to facilitate their negotiations,
UBI&#146;s obligations to apply commercially reasonable efforts and to apply reasonably necessary resources to certain research and development activities under the Collaboration Agreement are suspended during the Negotiation Period. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman"><I>The foregoing is a summary of certain terms of the Term Sheet Agreement. This summary does not purport to be complete and is qualified in
its entirety by reference to the full text of the Term Sheet Agreement, which will be filed as an exhibit to the Company&#146;s Quarterly Report on <FONT STYLE="white-space:nowrap">Form&nbsp;10-Q</FONT> for the quarter ending June&nbsp;30, 2019. The
Company intends to seek confidential treatment for certain portions of the Term Sheet Agreement pursuant to a confidential treatment request that it intends to submit to the Securities and Exchange Commission. </I></P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;3.03 Material Modification to Rights of Security Holders </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to the Term Sheet Agreement described above under Item 1.01, UBI has agreed not to make dividend payments or similar distributions
during the Negotiation Period described in the Term Sheet Agreement. </P>
 <p STYLE="margin-top:0pt;margin-bottom:0pt ; font-size:8pt">&nbsp;</P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center">2 </P>

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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item 7.01 Regulation FD </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The Company filed a release with the Australian Securities Exchange (&#147;<B>ASX Release</B>&#148;) on February&nbsp;11, 2019 announcing entry
into the Term Sheet Agreement. A copy of the ASX Release is included as Exhibit 99.1 to this current report on Form <FONT STYLE="white-space:nowrap">8-K.</FONT> The information in the ASX Release attached hereto shall not be deemed &#147;filed&#148;
for purposes of Section&nbsp;18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Securities
Exchange Act of 1934. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item 9.01. Financial Statements and Exhibits. </B></P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Exhibits. </P></TD></TR></TABLE>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to General Instruction B.2 of Form <FONT STYLE="white-space:nowrap">8-K,</FONT> the following exhibits are furnished with this Form <FONT
STYLE="white-space:nowrap">8-K.</FONT> </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" NOWRAP>99.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="d699909dex991.htm">Press Release of Universal Biosensors, Inc., dated February&nbsp;11, 2019. </A></TD></TR>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURES </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">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. </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" COLSPAN="3"><B>Universal Biosensors, Inc.</B></TD></TR>
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<TD VALIGN="top">Date: February&nbsp;11, 2019</TD>
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<TD VALIGN="bottom"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">/s/ Salesh Balak</P></TD></TR>
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<TD VALIGN="bottom">Salesh Balak</TD></TR>
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8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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) February 8, 2019
Universal Biosensors, Inc.
(Exact Name of Registrant as Specified in Its Charter)
Delaware
000-52607
98-0424072
(State or Other Jurisdiction
of Incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
1 Corporate Avenue
Rowville, 3178, Victoria
Australia
Not Applicable
(Address of Principal Executive Offices)
(Zip Code)
+61 3 9213 9000
(Registrant's Telephone Number, Including Area Code)
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 (
see
General Instruction A.2. below):
☐
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))
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 1.01. Entry into a Material Definitive Agreement.
As previously disclosed by Universal Biosensors, Inc. (the "
Company
"), the Company's wholly-owned operating subsidiary,
Universal Biosensors Pty Ltd ("
UBS
") (the Company and UBS collectively referred to as "UBI"), and Siemens Healthcare Diagnostics Inc. ("
Siemens
") are parties to:
•
a Collaboration Agreement dated September 9, 2011, as amended on September 20, 2012 (the
"
Collaboration Agreement
") (a copy of which was incorporated by reference to our Quarterly Report on Form
10-Q
filed on November 3, 2011 as Exhibit 10.20), pursuant to which the parties
are collaborating in the development of coagulation-related test strip products (the "
Original Products
"), and associated readers for the Original Products (the "
Readers
") for commercialization by Siemens in the
hospital
point-of-care
and ambulatory care coagulation markets;
•
a Supply Agreement dated September 20, 2012, pursuant to which UBS will manufacture and supply the Original
Products to Siemens (the "
Supply Agreement")
(a copy of which is incorporated by reference to our Quarterly Report on Form
10-Q/A
filed on February 4, 2013 as Exhibit 10.2);
•
a letter agreement titled "Supplemental Agreement – Reader Product Support Obligations and
Responsibilities" dated September 20, 2012 (the "
Reader Letter
") (a copy of which was incorporated by reference to our Quarterly Report on Form
10-Q/A
filed on February 4, 2013
as Exhibit 10.3);
•
a letter agreement dated December 12, 2014 (the "
December 2014 Letter
"); and
•
a letter agreement titled "Conditional Prepayment of Milestones and other amendments" dated
March 9, 2016 (the "
Prepayment Letter
") (a copy of which was incorporated by reference to our Quarterly Report on Form
10-Q
filed on April 21, 2016 as Exhibit 10.2).
On February 8, 2019, UBI and Siemens entered into a term sheet agreement (the "
Term Sheet
Agreement
") with respect to the following matters:
The Term Sheet Agreement provides that UBI and Siemens have agreed to
negotiate in good faith for a specified period (subject to extension if mutually agreed) (the "
Negotiation Period
") possible modifications to their commercial relationship, including the Collaboration and the Supply Agreements.
Under the Term Sheet Agreement, and to facilitate their negotiations, UBI has agreed not to make any dividend payments or similar
distributions, or engage in M&A transactions (subject to an exception which would allow the Company or UBS to enter into M&A transactions where the directors of the Company determine, in good faith, that not proceeding with such a
transaction would be inconsistent with their fiduciary duties).
Under the Term Sheet Agreement, and to facilitate their negotiations,
UBI's obligations to apply commercially reasonable efforts and to apply reasonably necessary resources to certain research and development activities under the Collaboration Agreement are suspended during the Negotiation Period.
The foregoing is a summary of certain terms of the Term Sheet Agreement. This summary does not purport to be complete and is qualified in
its entirety by reference to the full text of the Term Sheet Agreement, which will be filed as an exhibit to the Company's Quarterly Report on
Form 10-Q
for the quarter ending June 30, 2019. The
Company intends to seek confidential treatment for certain portions of the Term Sheet Agreement pursuant to a confidential treatment request that it intends to submit to the Securities and Exchange Commission.
Item 3.03 Material Modification to Rights of Security Holders
Pursuant to the Term Sheet Agreement described above under Item 1.01, UBI has agreed not to make dividend payments or similar distributions
during the Negotiation Period described in the Term Sheet Agreement.
2
Item 7.01 Regulation FD
The Company filed a release with the Australian Securities Exchange ("
ASX Release
") on February 11, 2019 announcing entry
into the Term Sheet Agreement. A copy of the ASX Release is included as Exhibit 99.1 to this current report on Form
8-K.
The information in the ASX Release attached hereto shall not be deemed "filed"
for purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Securities
Exchange Act of 1934.
Item 9.01. Financial Statements and Exhibits.
(d)
Exhibits.
Pursuant to General Instruction B.2 of Form
8-K,
the following exhibits are furnished with this Form
8-K.
99.1
Press Release of Universal Biosensors, Inc., dated February 11, 2019.
3
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.
Universal Biosensors, Inc.
Date: February 11, 2019
By:
/s/ Salesh Balak
Salesh Balak
Chief Financial Officer
4