SEC Form 4 · accession 0001078782-18-001389
Evolus, Inc. · EOLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alphaeon Corp
10% Owner
Period of report
Nov 29, 2018
Accepted (ET)
Dec 3, 2018 · 4:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001570562
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 29, 2018 | S | 573,888 | $14.00 | D | 15,268,987 | D |
Table II — derivative securities
No Table II lines on this filing.
Remarks
The disposition of the shares of common stock referenced in this Form 4 was in a private transaction with certain of Alphaeon Corporation's existing noteholders who elected to receive payment of outstanding principal amounts due under their notes on December 23, 2018 in the form of shares of common stock rather than cash. The shares of common stock received by the noteholders are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.