Filing Details
- Accession Number:
- 0001209191-18-032950
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-05-24 15:32:16
- Reporting Period:
- 2018-05-22
- Accepted Time:
- 2018-05-24 15:32:16
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1618835 | Evofem Biosciences Inc. | EVFM | Investment Advice (6282) | D0 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
914208 | Ltd. Invesco | 1555 Peachtree Street Ne Suite 1800 Atlanta GA 30309 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2018-05-22 | 2,127,659 | $4.69 | 9,165,157 | No | 4 | P | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See Footnotes |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Acquisiton | 2018-05-22 | 2,127,659 | $0.01 | 425,531 | $7.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
2,127,659 | 2018-05-24 | 2018-05-24 | No | 4 | P | Indirect |
Footnotes
- The 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.
- Invesco 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.
- Invesco Asset Management Ltd. is a subsidiary of Invesco Ltd., and it advises Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund.
- As 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.