Statement of Changes in Beneficial Ownership (4)

Datum : 07/02/2020 @ 22h34
Quelle : Edgar (US Regulatory)
Name : Evofem Biosciences Inc (EVFM)
Kurs : 5.2688  0.2488 (4.96%) @ 16h06
Evofem Biosciences share price Chart

Statement of Changes in Beneficial Ownership (4)

FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

PELLETIER SAUNDRA L
2. Issuer Name and Ticker or Trading Symbol

Evofem Biosciences, Inc. [ EVFM ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Chief Executive Officer
(Last)          (First)          (Middle)

C/O EVOFEM BIOSCIENCES, INC., 12400 HIGH BLUFF DRIVE, SUITE 600
3. Date of Earliest Transaction (MM/DD/YYYY)

2/5/2020
(Street)

SAN DIEGO, CA 92130
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock (1)2/5/2020 (2) A  3846 (3)A$5.21 366135 D  
Common Stock 2/5/2020  A  300000 (4)A$0 666135 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock option (right to buy) $4.87 2/5/2020  A   300000     (5)2/5/2030 Common Stock 300000.0 $0 300000 D  

Explanation of Responses:
(1) The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Evofem Biosciences, Inc. 2019 Employee Stock Purchase Plan (2019 ESPP), for the ESPP purchase period of June 17, 2019 through December 13,2019. This transaction is also exempt under Rule 16b-3(c).
(2) The reporting person is voluntarily reporting this transaction as of February 5, 2020, but the actual transaction took place on December 13, 2019, the last trading day of the purchase period under the 2019 ESPP.
(3) In accordance with the 2019 ESPP, these shares were purchased based on 85% of the closing stock price on December 13, 2019, the last trading day of the purchase period.
(4) The restricted stock awards will vest based on the Issuer's achievement of certain performance milestones in 2020.
(5) The shares of common stock exercisable pursuant to the option will vest in a series of thirty-six (36) successive equal monthly installments upon completion of each additional month of service for the Issuer measured from February 5, 2020.

Remarks:
The option was granted subject to stockholder approval and will be forfeited if stockholder approval is not obtained.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
PELLETIER SAUNDRA L
C/O EVOFEM BIOSCIENCES, INC.
12400 HIGH BLUFF DRIVE, SUITE 600
SAN DIEGO, CA 92130
X
Chief Executive Officer

Signatures
/s/ Justin J. File, attorney-in-fact2/7/2020
**Signature of Reporting PersonDate

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