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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants | $ 7.5 | 05/22/2018 | P(1) | 2,127,659 | 05/24/2018 | 05/24/2018 | Common stock | 425,531 | $ 0.01 | 2,127,659 | I | See Footnotes (2), (3) and (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Invesco Ltd. 1555 PEACHTREE STREET NE SUITE 1800 ATLANTA, GA 30309 |
X |
Nancy Tomassone | 05/24/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 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. |
(2) | 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. |
(3) | Invesco Asset Management Ltd. is a subsidiary of Invesco Ltd., and it advises Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund. |
(4) | 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. |