0001213900-19-022870.txt : 20191112
0001213900-19-022870.hdr.sgml : 20191112
20191112144932
ACCESSION NUMBER: 0001213900-19-022870
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190630
FILED AS OF DATE: 20191112
DATE AS OF CHANGE: 20191112
EFFECTIVENESS DATE: 20191112
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16850
FILM NUMBER: 191208671
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/A
1
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13F-HR/A
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0001634557
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06-30-2019
06-30-2019
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Woodford Investment Management Ltd
9400 Garsington Road
Oxford
X0
OX4 2HN
13F HOLDINGS REPORT
028-16850
Y
This amendment is being filed to reflect that as of June 5, 2019, the Reporting Manager ('WIM') was no longer the investment manager of SJPUT UK High Income and SJPUK Net Distribution Bond. WIM is the investment manager of various funds (the "WIM Funds"), including the Other Included Managers set forth herein, and has defined investment discretion and, except as detailed below and in the Information Table ("Table"), shared voting authority with respect to the securities held by WIM Funds reported herein. With respect to Evofem Biosciences, Inc. ("EVF"), LF Woodford Equity Income Fund ("LFW"), Woodford Patient Capital Trust Plc ("PCT") and Omnis Income & Growth Fund own shares of EVF common stock ("EVF Stock"). Each such fund has delivered to EVF a duly executed irrevocable proxy appointing any designee of EVF as its respective sole and exclusive attorney and proxy to vote at every meeting of EVF stockholders with respect to all shares of EVF Stock owned by it in excess of 19.5% of the then outstanding shares of EVF Stock (the "EVF Threshold") in the same proportion as shares voted by all other stockholders (excluding such fund) voting on or consenting to such matters. Accordingly, each such fund has voting power (which it shares with WIM) only up to and including the EVF Threshold. LFW holds EVF Stock above the EVF Threshold, thus voting power above the EVF Threshold is reported as "none" in Column 8 of the Table. For this calculation, the total outstanding EVF shares used was 46,406,004 shares outstanding as of 6-14-19 as reported in EVF's Prospectus on Form 424B3, filed with the SEC on 7-2-19. Please refer to the Form of Voting Agreement, incorporated by reference to Exhibit 4.10 of EVF's Form S-4 (No. 333-221592) filed on 11-15-17 and WIM's Schedule 13G/A with respect to the EVF Stock filed by WIM on 8-8-19, for more information. With respect to Autolus Therapeutics plc ("AUT"), four WIM Funds (including LFW and PCT) have executed irrevocable proxies appointing WIM as their sole and exclusive attorney and proxy to vote at every meeting of shareholders of AUT and exercise all rights with respect to all capital stock of AUT, including ordinary shares ("AUT Shares"), beneficially owned by such funds ("AUT Proxy Shares"). WIM executed an irrevocable proxy (the "AUT Proxy") appointing any designee of AUT as the sole and exclusive attorney and proxy of WIM to represent WIM and to vote at every meeting of shareholders of AUT and exercise all rights with respect to all AUT Proxy Shares, which when added to AUT Shares beneficially owned by Arix Bioscience plc ("Arix"), are in excess of 9.99% of the then outstanding capital stock of AUT (the "AUT Threshold") in the same proportion as the shares voted by all other stockholders (excluding WIM) voting on such matters. Accordingly, (i) LFW and PCT do not have voting control over AUT Shares held by them, and such voting control is reported as "none" in Column 8 of the Table, (ii) WIM has sole voting power with respect to AUT Proxy Shares, which when added to the AUT Shares held by Arix, are at or below the AUT Threshold, and such voting control is reported as "sole" in Column 8 of the Table and (iii) WIM has no voting power with respect to all other AUT Shares held by the WIM Funds, and such voting control is reported as "none" in Column 8 of the Table. For purposes of this calculation, (x) the total outstanding AUT Shares used was 44,977,441 shares of outstanding ordinary shares as of 4-15-19 as reported in AUT's Prospectus on Form 424B5, filed with the SEC on 7-24-19 and (y) the total AUT Shares owned by Arix was 3,161,533 shares, as disclosed in the AUT Schedule 13D filed by Arix on 7-6-18.
Chris Martin
Head of Compliance
44-0-1865-809041
/s/ Chris Martin
Oxford
X0
11-12-2019
2
11
591158
1
0001637243
028-18455
LF Woodford Equity Income Fund
2
0001729720
028-18456
Woodford Patient Capital Trust Plc
INFORMATION TABLE
2
infotable.xml
AUTOLUS THERAPEUTICS PLC
SPON ADS
05280R100
57925
3597796
SH
DFND
2
0
0
3597796
AUTOLUS THERAPEUTICS PLC
SPON ADS
05280R100
105569
6557082
SH
DFND
1
0
0
6557082
AUTOLUS THERAPEUTICS PLC
SPON ADS
05280R100
23174
1439356
SH
DFND
1331713
0
10262521
EVOFEM BIOSCIENCES INC
Common
30048L104
22295
3357718
SH
DFND
2
0
3357718
0
EVOFEM BIOSCIENCES INC
Common
30048L104
60680
9138504
SH
DFND
1
0
9049170
89334
EVOFEM BIOSCIENCES INC
Common
30048L104
8218
1237613
SH
DFND
0
1237613
0
NUCANA PLC
SPON ADR
67022C106
21985
2118000
SH
DFND
1
0
2118000
0
PROTHENA CORP PLC
SHS
G72800108
78734
7448790
SH
DFND
1
0
7448790
0
PROTHENA CORP PLC
SHS
G72800108
14005
1325000
SH
DFND
0
1325000
0
THERAVANCE BIOPHARMA INC
Common
G8807B106
180724
11066980
SH
DFND
1
0
11066980
0
THERAVANCE BIOPHARMA INC
Common
G8807B106
17849
1093000
SH
DFND
0
1093000
0