SEC Form 4 · accession 0001209191-15-081396
Evofem Biosciences, Inc. · EVFM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth W Locke
Officer — Chief Scientific Officer
Period of report
Nov 18, 2015
Accepted (ET)
Nov 19, 2015 · 7:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001618835
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 18, 2015 | M | 6,098 | $8.301 | A | 6,391 | D | |
| Common Stock | Nov 18, 2015 | S | 6,098 | $8.301 | D | 293 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $1.22 | Nov 18, 2015 | M | 4,093 | D | — | Apr 22, 2018 | Common Stock | 4,093 | 23,191 | D |
| Stock Option (Right to Buy)F2 | $1.22 | Nov 18, 2015 | M | 2,005 | D | — | Jun 10, 2019 | Common Stock | 2,005 | 11,366 | D |
Explanation of responses
- F1The shares were sold pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
- F2Option shares are fully vested.