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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Care Capital III LLC PO BOX 276 AVON BY THE SEA, NJ 07717 |
X | |||
Care Capital Investments III L.P. PO BOX 276 AVON BY THE SEA, NJ 07717 |
X | |||
Care Capital Offshore Investments III LP PO BOX 276 AVON BY THE SEA, NJ 07717 |
X |
Care Capital III LLC /s/ David R. Ramsay | 07/16/2018 | |
**Signature of Reporting Person | Date | |
Care Capital Investments III L.P., By: Care Capital III LLC, Its General Partner /s/ David R. Ramsay | 07/16/2018 | |
**Signature of Reporting Person | Date | |
Care Capital Offshore Investments III LP, By: Care Capital III LLC, Its General Partner /s/ David R. Ramsay | 07/16/2018 | |
**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). |
Remarks: The reporting persons ceased to be holders of 10% or more of the outstanding common stock of Agile Therapeutics, Inc. (the "Company") on or about April 18, 2018, as disclosed in the Company's proxy statement filed on April 25, 2018. As a result, the reporting persons are no longer subject to Section 16 in connection with transactions in the equity securities of the Company and therefore will no longer report any such transactions on Form 4 or Form 5. |