Filing Details

Accession Number:
0001209191-22-024321
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-04-13 17:26:49
Reporting Period:
2022-04-11
Accepted Time:
2022-04-13 17:26:49
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 2022-04-11 2,631,578 $1.90 10,421,428 No 4 P Indirect See Note 2
Common Stock Acquisiton 2022-04-11 948,948 $1.90 948,948 No 4 P Indirect See Note 3
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Note 2
No 4 P Indirect See Note 3
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Pre-Funded Warrants Acquisiton 2022-04-11 3,000,000 $1.90 3,000,000 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,000,000 No 4 P Indirect
Footnotes
  1. Acquired from the Issuer on April 11, 2022 pursuant to a Securities Purchase Agreement dated April 6, 2022.
  2. The Reporting Person is a manager of NEA 16 GP, LLC, 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 securities. 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 NEA 16 securities in which the Reporting Person has no pecuniary interest.
  3. The Reporting Person is a manager of NEA 18 VG GP, LLC, which is the sole general partner of NEA Partners 18 VG, L.P. ("NEA Partners 18 VG"). NEA Partners 18 VG is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), the direct beneficial owner of the securities. 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 securities held by NEA 18 VGE in which the Reporting Person has no pecuniary interest.
  4. The Pre-Funded Warrants are exercisable immediately and will be exercisable until exercised in full. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 9.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise, which percentage may be increased or decreased at the holder's election upon 61 days' notice to the Issuer, not to exceed 19.99%.