SEC Form 4 · accession 0001570562-18-000124
Evolus, Inc. · EOLS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kristine Romine
Director
Period of report
Nov 29, 2018
Accepted (ET)
Dec 3, 2018 · 4:27 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 StockF1 | Nov 29, 2018 | P | 6,347 | $14.00 | A | 24,347 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and the Reporting Person. The Reporting Person holds certain notes issued by ALPHAEON. The Reporting Person elected to receive payment from ALPHAEON of the outstanding principal amounts of the notes due on December 23, 2018 in the form of shares of common stock rather than cash. The shares of common stock received by the Reporting Person are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.