0001209191-19-036289.txt : 20190612
0001209191-19-036289.hdr.sgml : 20190612
20190612104109
ACCESSION NUMBER: 0001209191-19-036289
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190610
FILED AS OF DATE: 20190612
DATE AS OF CHANGE: 20190612
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Invesco Ltd.
CENTRAL INDEX KEY: 0000914208
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: D0
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36754
FILM NUMBER: 19892626
BUSINESS ADDRESS:
STREET 1: 1555 PEACHTREE STREET NE
STREET 2: SUITE 1800
CITY: ATLANTA
STATE: GA
ZIP: 30309
BUSINESS PHONE: 404-892-0896
MAIL ADDRESS:
STREET 1: 1555 PEACHTREE STREET NE
STREET 2: SUITE 1800
CITY: ATLANTA
STATE: GA
ZIP: 30309
FORMER NAME:
FORMER CONFORMED NAME: Invesco Ltd
DATE OF NAME CHANGE: 20080508
FORMER NAME:
FORMER CONFORMED NAME: Invesco PLC
DATE OF NAME CHANGE: 20080429
FORMER NAME:
FORMER CONFORMED NAME: Invesco Ltd.
DATE OF NAME CHANGE: 20071205
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-06-10
0
0001618835
Evofem Biosciences, Inc.
EVFM
0000914208
Invesco Ltd.
1555 PEACHTREE STREET NE
SUITE 1800
ATLANTA
GA
30309
0
0
1
0
Common stock
2019-06-10
4
P
0
2222222
4.50
A
11812910
I
See Footnotes
Warrants
5.20
2019-06-10
4
J
0
212765
0.0001
D
2026-02-08
Common Stock
212765
555556
I
see footnote
Right to Purchase
6.38
2019-06-10
4
J
0
555556
0.0001
A
Common Stock
555556
555556
I
See Footnote
Invesco Ltd. is the beneficial owner of 11,812,910 shares of common stock and warrants to purchase 555,556 common shares acquired by its affiliates, Invesco High Income Fund(UK) and Invesco Income Fund(UK).
Pursuant to the Securities Purchase Agreement, Invesco Ltd. agreed to cancel warrants to purchase 212,765 shares of Common Stock.
The warrants were exercisable on the earlier of 08/08/2019, or following the date that the issuance of the warrants was approved by the stockholders of the Issuer.
Invesco Ltd. owned the warrants through its affiliates, Invesco High Income Fund (UK) and Invesco Income Fund (UK).
On June 10, 2019, Invesco Ltd. exercised its right, pursuant to that certain Securities Purchase Agreement between the Issuer, Invesco Ltd., PLD Biopharma, and Woodford Asset Management Limited dated April 10, 2019 (the "Securities Purchase Agreement"), to purchase (i) 2,222,222 shares of common stock at a purchase price of $4.50 per share and (ii) warrants to purchase 555,556 shares of common stock at a purchase price equal to $6.38 per share.
The warrants are exercisable six (6) months following the original issue date.
The warrants expire seven (7) years following the original issue date.
Nancy Tomassone, Global Assurance Officer
2019-06-12