SEC Form 4 · accession 0001209191-18-032950
Evofem Biosciences, Inc. · EVFM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Invesco Ltd.
10% Owner
Period of report
May 22, 2018
Accepted (ET)
May 24, 2018 · 3:32 pm EDT
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, Par value $0.0001 per shareF2,F3,F4 | May 22, 2018 | P | 2,127,659 | $4.69 | A | 9,165,157 | I | See Footnotes |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants | $7.50 | May 22, 2018 | P | 2,127,659 | A | May 24, 2018 | May 24, 2018 | Common stock | 425,531 | 2,127,659 | I |
Explanation of responses
- F1The common stock and warrants were purchased from the underwriters in a public offering pursuant to a registration statement on Form S-1 (333- 224958). The shares of common stock and warrants were purchased at the public offering price.
- F2Invesco Ltd. is the beneficial owner of 9,165,157 shares of common stock and 2,127,659 warrants acquired by its affiliates, Invesco Perpetual High Income Funda and Invesco Perpetual Income Fund.
- F3Invesco Asset Management Ltd. is a subsidiary of Invesco Ltd., and it advises Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund.
- F4As described in the Neothetics, Inc. Registration Statement on Form S-4 (File No. 333-221592) voting and investment power over the common stock and warrants held by Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund is exercised by the directors of Invesco Asset Management Ltd. Neothetics, Inc. changed its name to Evofem Biosciences, Inc. on January 17, 2017.