0000899243-19-026405.txt : 20191031 0000899243-19-026405.hdr.sgml : 20191031 20191031165005 ACCESSION NUMBER: 0000899243-19-026405 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191015 FILED AS OF DATE: 20191031 DATE AS OF CHANGE: 20191031 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Link Fund Solutions Ltd CENTRAL INDEX KEY: 0001792424 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36754 FILM NUMBER: 191184242 BUSINESS ADDRESS: STREET 1: 65 GRESHAM STREET CITY: LONDON STATE: X0 ZIP: EC2V 7NQ BUSINESS PHONE: 44 (0)20 7954 9710 MAIL ADDRESS: STREET 1: 65 GRESHAM STREET CITY: LONDON STATE: X0 ZIP: EC2V 7NQ ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Evofem Biosciences, Inc. CENTRAL INDEX KEY: 0001618835 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 208527075 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 550-1900 MAIL ADDRESS: STREET 1: 12400 HIGH BLUFF DRIVE STREET 2: SUITE 600 CITY: SAN DIEGO STATE: CA ZIP: 92130 FORMER COMPANY: FORMER CONFORMED NAME: Neothetics, Inc. DATE OF NAME CHANGE: 20140905 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2019-10-15 0 0001618835 Evofem Biosciences, Inc. EVFM 0001792424 Link Fund Solutions Ltd 6TH FLOOR, 65 GRESHAM STREET LONDON X0 EC2V 7NQ UNITED KINGDOM 0 0 1 0 Common Stock, par value $0.0001 per share 9087206 I See Footnotes On October 15, 2019, when Woodford Investment Management Ltd was removed as investment manager of LF Woodford Equity Income Fund ("WEIF"), the investment management role reverted to Link Fund Solutions Limited ("LFS") in its capacity as the authorised corporate director of WEIF. Pursuant to an agreement between WEIF and LFS, LFS has voting power over securities held of record by WEIF, including the Common Stock. WEIF has entered into a voting agreement with the Issuer, obligating WEIF to deliver to the Issuer a duly executed irrevocable proxy. WEIF has executed and delivered such proxy to the Issuer. The proxy appoints any designee of the Issuer as the sole and exclusive attorney and proxy of WEIF to represent WEIF and to vote at every meeting of the stockholders of the Issuer (including any actions by written consent) with respect to all the shares of Common Stock beneficially owned by WEIF in excess of 19.5% of the then outstanding shares of Common Stock of the Company in the same proportion as the shares voted by all other stockholders (excluding WEIF) voting on or consenting to such matters. Accordingly, (Continued from footnote 2) LFS only has voting power with respect to the shares of Common Stock up to and including that 19.5% threshold, or 9,087,206 shares of Common Stock, based on 46,601,058 outstanding shares of Common Stock of the Issuer as of July 31, 2019 as reported in the Issuer's Quarterly Report on Form 10-Q, filed with the SEC on August 6, 2019. The reporting person is expecting to rely on the exemption provided under Rule 16a-2(d)(1) under the Securities Exchange Act of 1934, as amended. For and on behalf of: Link Fund Solutions Limited, By: /s/ Nigel Boyling, Name: Nigel Boyling, Title: Director 2019-10-31