SEC Form 4 · accession 0001209191-19-009273
Evofem Biosciences, Inc. · EVFM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Invesco Ltd.
10% Owner
Period of report
Feb 8, 2019
Accepted (ET)
Feb 12, 2019 · 4:05 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 stockF1 | Feb 8, 2019 | P | 425,531 | $2.64 | A | 9,590,688 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1,F2 | $5.20 | Feb 8, 2019 | P | 212,765 | A | — | Feb 8, 2026 | Common Stock | 212,765 | 212,765 | I |
Explanation of responses
- F1Invesco Ltd. is the beneficial owner of 9,590,688 shares of common stock and warrants to purchase 212,765 common shares acquired by its affiliates, Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund.
- F2The warrants are exercisable on the earlier of 08/08/2019, or following the date that the issuance of the warrants is approved by the stockholders of the Issuer.