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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/28/2023 |
3. Issuer Name and Ticker or Trading Symbol
Incannex Healthcare Inc. [ IXHL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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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) |
Common Stock | 29,250 | D | |
Common Stock | 10,000 | I | By Mr. Valentine as the beneficiary of the GFCR Investments Trust |
Common Stock | 30,000 | I | By Valplan Pty Ltd, a company of which Mr. Valentine is a director |
Common Stock | 10,000 | I | By Tranaj Nominees Pty Ltd, a company of which Mr. Valentine is a director |
Common Stock | 242,862 | I | By Alignment Capital Pty Ltd, a company of which Mr. Valentine is a director and major shareholder |
Common Stock | 44,400 | I | By Cityside Pty Ltd, a company wholly-owned by Mr. Valentine |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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 | ||||
Stock Option (right to buy) | 11/28/2023 | 07/01/2025 | Common Stock, par value $0.0001 | 4,667 | 17.1 | D | |
Stock Option (right to buy) | 11/28/2023 | 07/01/2026 | Common Stock, par value $0.0001 | 4,667 | 20.39 | D | |
Stock Option (right to buy)(1) | (1) | 07/01/2027 | Common Stock, par value $0.0001 | 4,667 | 23.02 | D | |
Stock Option (right to buy) | 11/28/2023 | 07/01/2026 | Common Stock, par value $0.0001 | 4,667 | 17.1 | D | |
Stock Option (right to buy)(2) | (2) | 07/01/2027 | Common Stock, par value $0.0001 | 4,667 | 20.39 | D | |
Stock Option (right to buy)(3) | (3) | 07/01/2028 | Common Stock, par value $0.0001 | 4,667 | 23.02 | D | |
Stock Option (right to buy) | 11/28/2023 | 04/30/2026 | Common Stock, par value $0.0001 | 1,951 | 16.44 | D | |
Stock Option (right to buy) | 11/28/2023 | 04/30/2026 | Common Stock, par value $0.0001 | 1,917 | 16.44 | I | By Mr. Valentine as beneficiary of the GFCR Investments Trust managed |
Stock Option (right to buy) | 11/28/2023 | 04/30/2026 | Common Stock, par value $0.0001 | 2,000 | 16.44 | I | By Valplan Pty Ltd, a company of which Mr. Valentine is a director |
Stock Option (right to buy) | 11/28/2023 | 04/30/2026 | Common Stock, par value $0.0001 | 6,812 | 16.44 | I | By Tranaj Nominees Pty Ltd, a company of which Mr. Valentine is a director |
Stock Option (right to buy) | 11/28/2023 | 04/30/2026 | Common Stock, par value $0.0001 | 8,797 | 16.44 | I | By Alignment Capital Pty Ltd, a company of which Mr. Valentine is a director and major shareholder |
Stock Option (right to buy) | 11/28/2023 | 04/30/2026 | Common Stock, par value $0.0001 | 2,960 | 16.44 | I | By Cityside Pty Ltd a company wholly-owned by Mr. Valentine |
Explanation of Responses: |
1. Granted on November 28, 2023. Vesting to occur on June 30, 2024, provided Mr. Valentine is still a director on such date. |
2. Granted on November 28, 2023. Vesting to occur on June 30, 2024, provided Mr. Valentine is still a director on such date. |
3. Granted on November 28, 2023. Vesting to occur on June 30, 2025, provided Mr. Valentine is still a director on such date. |
/s/ Troy Valentine | 12/06/2023 | |
** 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. |