UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Invesco Ltd. 1555 PEACHTREE STREET NE SUITE 1800 ATLANTA, GA 30309 |
 |  X |  |  |
Nancy Tomassone | 01/18/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Invesco Ltd. is the beneficial owner of 7,037,498 shares of common stock acquired by its affiliates, Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund. |
(2) | Invesco Asset Management Ltd. is a subsidiary of Invesco Ltd., and it advises Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund |
(3) | As described in the Neothetics, Inc. Registration Statement on Form S-4 (File No. 333-221592), voting and investment power over the shares 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. |
(4) | The common stock is directly owned by Invesco Perpetual High Income Fund and Invesco Perpetual Income Fund. |