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Filing Details

Accession Number:
0001209191-19-029404
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-05-13 17:15:02
Reporting Period:
2019-05-09
Accepted Time:
2019-05-13 17:15:02
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1563880 Trevi Therapeutics Inc. TRVI () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1559807 W. Peter Sonsini 2855 Sand Hill Road
Menlo Park CA 94025
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 1,938,562 $0.00 1,938,562 No 4 C Indirect See Note 2
Common Stock Acquisiton 2019-05-09 1,000,000 $10.00 2,938,562 No 4 P Indirect See Note 2
Common Stock Acquisiton 2019-05-09 1,500,000 $10.00 4,438,562 No 4 P Indirect See Note 2
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Note 2
No 4 P Indirect See Note 2
No 4 P Indirect See Note 2
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 17,099,315 $0.00 1,938,562 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
Footnotes
  1. 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.
  2. The Reporting Person is a manager of NEA 16 GP, LLC, ("NEA 16 GP") which is the sole general partner of NEA Partners 16, L.P. ("NEA Partners 16"). NEA Partners 16 is the sole general partner of New Enterprise Associates 16, L.P. ("NEA 16"), which is the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares held by NEA 16 in which the Reporting Person has no pecuniary interest.
  3. Acquired from the Issuer pursuant to a Securities Purchase Agreement dated May 6, 2019 with a closing date of May 9, 2019.