Filing Details
- Accession Number:
- 0000899243-19-013260
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-05-13 17:03:05
- Reporting Period:
- 2019-05-09
- Accepted Time:
- 2019-05-13 17:03:05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1563880 | Trevi Therapeutics Inc. | TRVI | Pharmaceutical Preparations (2834) | 450834299 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1774956 | Mellon Family Investment Co V | C/O Trevi Therapeutics, Inc. 195 Church Street, 14Th Floor New Haven CT 06510 | No | No | Yes | No | |
| 1775165 | Mfic V, Llc | C/O Trevi Therapeutics, Inc. 195 Church Street, 14Th Floor New Haven CT 06510 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-05-09 | 222,816 | $0.00 | 222,816 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2019-05-09 | 24,340 | $0.00 | 247,156 | No | 4 | J | Direct | |
| Common Stock | Acquisiton | 2019-05-09 | 100,000 | $10.00 | 347,156 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | J | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series C Preferred Stock | Disposition | 2019-05-09 | 1,908,450 | $0.00 | 222,816 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct |
Footnotes
- On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
- MFIC V, LLC, the general partner of Mellon Family Investment Company V, has sole voting and investment control with respect to shares of the Issuer's Common Stock held by Mellon Family Investment Company V.
- Consists of shares transferred to Mellon Family Investment Company V by TPG Biotechnology Partners III, L.P. in connection with the closing of the Issuer's initial public offering.
Billionaire Hedge Funds
