0001213900-18-010564.txt : 20180809 0001213900-18-010564.hdr.sgml : 20180809 20180809160756 ACCESSION NUMBER: 0001213900-18-010564 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180809 DATE AS OF CHANGE: 20180809 EFFECTIVENESS DATE: 20180809 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Woodford Investment Management Ltd CENTRAL INDEX KEY: 0001634557 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16850 FILM NUMBER: 181005081 BUSINESS ADDRESS: STREET 1: 9400 GARSINGTON ROAD CITY: OXFORD STATE: X0 ZIP: OX4 2HN BUSINESS PHONE: 00 44 1865809023 MAIL ADDRESS: STREET 1: 9400 GARSINGTON ROAD CITY: OXFORD STATE: X0 ZIP: OX4 2HN FORMER COMPANY: FORMER CONFORMED NAME: Woodford Investment Management LLP DATE OF NAME CHANGE: 20150220 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001634557 XXXXXXXX 06-30-2018 06-30-2018 false Woodford Investment Management Ltd

9400 Garsington Road Oxford X0 OX4 2HN

13F HOLDINGS REPORT 028-16850 Y With respect to Evofem Biosciences, Inc. ("Evofem"), the Reporting Manager, acting as agent for and on behalf of the funds it manages who own shares of Evofem common stock, par value $0.0001 per share ("Evofem Stock") (the "Funds"), has entered into a voting agreement with Evofem, obligating the Reporting Manager to cause each Fund to deliver to Evofem a duly executed irrevocable proxy. Each Fund, including LF Woodford Equity Income Fund and Woodford Patient Capital Trust, who are Other Included Managers whose holdings are separately included on the Information Table, has executed and delivered such proxy to Evofem. The proxy appoints any designee of Evofem as the sole and exclusive attorney and proxy of the Fund to represent the Fund and to vote at every meeting of the stockholders of Evofem (including any actions by written consent) with respect to all the shares of Evofem Stock owned by the Fund in excess of 19.5% of the then outstanding shares of Evofem Stock in the same proportion as the shares voted by all other stockholders (excluding the Fund) voting on or consenting to such matters. Accordingly, each Fund (as record holder of the shares) only has voting power with respect to the shares it beneficially owns up to and including that 19.5% threshold ("Threshold Shares"); the Reporting Manager shares voting power with respect to such Threshold Shares. Voting authority with respect to the Evofem Stock over which neither the Reporting Manager nor the Funds has voting power (because such 19.5% threshold has been exceeded) is reported as "none" in Column 8 of the Information Table. For purposes of this calculation, the total outstanding Evofem shares used was 26,263,340 shares of Evofem Stock outstanding, which is the sum of the 17,763,340 shares outstanding as of April 30, 2018, as reported in Evofem's Quarterly Report on Form 10-Q, filed with the SEC on May 14, 2018, plus the 8,500,000 shares registered on Form S-1 and sold by Evofem in May 2018. Please refer to the Form of Voting Agreement, which is incorporated by reference to Exhibit 4.10 of Evofem's Registration Statement on Form S-4 (No. 333-221592) filed on November 15, 2017 and the Reporting Manager's Schedule 13G with respect to the Evofem Stock filed by the Reporting Manager on June 11, 2018, for more information. All American Depositary Shares of Autolus Therapeutics PLC reported in the Information Table are subject to a Lock-Up Agreement, dated as of February 9, 2018. Chris Martin 44-0-1865-809041 /s/ Chris Martin Oxford X0 08-07-2018 5 25 824679 1 0001637243 028-18455 LF Woodford Equity Income Fund 2 0001730427 028-18454 SJPUT UK High Income 3 0001730428 028-18453 SJPUK Net Distribution Bond 4 0001729720 028-18456 Woodford Patient Capital Trust 5 0001740255 028-18750 SJPUK EX UK Equity INFORMATION TABLE 2 infotable.xml AGIOS PHARMACEUTICALS INC Common 00847X104 7554 89685 SH DFND 5 0 89685 0 AGIOS PHARMACEUTICALS INC Common 00847X104 8181 97129 SH DFND 3 0 97129 0 AGIOS PHARMACEUTICALS INC Common 00847X104 15293 181561 SH DFND 2 0 181561 0 AGIOS PHARMACEUTICALS INC Common 00847X104 1821 21625 SH DFND 0 21625 0 ALKERMES PLC SHS G01767105 35954 873510 SH DFND 5 0 873510 0 ALKERMES PLC SHS G01767105 60169 1461840 SH DFND 3 0 1222207 0 ALKERMES PLC SHS G01767105 75005 1822275 SH DFND 2 0 1822275 0 ALKERMES PLC SHS G01767105 23024 559385 SH DFND 0 319752 239633 ALTRIA GROUP INC Common 02209S103 6701 118000 SH DFND 5 0 118000 0 AUTOLUS THERAPEUTICS PLC SPON ADS 05280R100 31745 1184954 SH DFND 1 0 1184954 0 AUTOLUS THERAPEUTICS PLC SPON ADS 05280R100 10898 406789 SH DFND 0 107654 299135 BIOGEN INC Common 09062X103 15780 54369 SH DFND 5 0 54369 0 BIOGEN INC Common 09062X103 26793 92313 SH DFND 3 0 92313 0 BIOGEN INC Common 09062X103 32551 112151 SH DFND 2 0 112151 0 BIOGEN INC Common 09062X103 6017 20731 SH DFND 0 20731 0 EVOFEM BIOSCIENCES INC Common 30048L104 4533 1672611 SH DFND 4 0 1672611 0 EVOFEM BIOSCIENCES INC Common 30048L104 19846 7323079 SH DFND 1 0 5121351 2201728 EVOFEM BIOSCIENCES INC Common 30048L104 1619 597507 SH DFND 0 597507 0 NIGHTSTAR THERAPEUTICS PLC ADR 65413A101 5024 314000 SH DFND 0 0 314000 NUCANA PLC SPON ADR 67022C106 7980 420000 SH DFND 0 0 420000 PROTHENA CORP PLC SHS G72800108 38628 2649408 SH DFND 4 0 2649408 0 PROTHENA CORP PLC SHS G72800108 115893 7948790 SH DFND 1 0 7948790 0 PROTHENA CORP PLC SHS G72800108 19339 1326416 SH DFND 0 741342 585074 THERAVANCE BIOPHARMA INC Common G8807B106 225980 9963839 SH DFND 1 0 9963839 0 THERAVANCE BIOPHARMA INC Common G8807B106 28351 1250040 SH DFND 0 419041 830999