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