Filing Details
- Accession Number:
- 0001209191-21-061093
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-10-19 21:12:35
- Reporting Period:
- 2021-10-18
- Accepted Time:
- 2021-10-19 21:12:35
- 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 |
---|---|---|---|---|---|---|---|
1746342 | Carmen Chang | 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 | 2021-10-18 | 1,851,852 | $0.00 | 7,789,850 | No | 4 | P | Indirect | See Note 2 |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | 3.5-Year Common Stock Warrant | Acquisiton | 2021-10-18 | 1,851,852 | $0.00 | 1,851,852 | $1.37 |
Common Stock | 7-Year Common Stock Warrant | Acquisiton | 2021-10-18 | 1,851,852 | $0.00 | 1,851,852 | $1.37 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,851,852 | 2021-10-18 | 2025-04-18 | No | 4 | P | Indirect |
1,851,852 | 2021-10-18 | 2028-10-18 | No | 4 | P | Indirect |
Footnotes
- Represents securities acquired pursuant to a Securities Purchase Agreement (the "SPA"), dated October 15, 2021, by and between the Issuer and New Enterprise Associates 16, L.P. ("NEA 16"), with a closing on October 18, 2021. Pursuant to the terms of the SPA, NEA 16 purchased common units for $1.62 per common unit. Each common unit consisted of one share of the Issuer's common stock, one 3.5 year common stock warrant, and one 7-year common stock warrant.
- 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 NEA 16, 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 16 in which the Reporting Person has no pecuniary interest.