0001209191-21-061098.txt : 20211019
0001209191-21-061098.hdr.sgml : 20211019
20211019211708
ACCESSION NUMBER: 0001209191-21-061098
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211018
FILED AS OF DATE: 20211019
DATE AS OF CHANGE: 20211019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Walker Paul Edward
CENTRAL INDEX KEY: 0001553150
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38886
FILM NUMBER: 211332554
MAIL ADDRESS:
STREET 1: 1954 GREENSPRING DRIVE
STREET 2: SUITE 600
CITY: TIMONIUM
STATE: MD
ZIP: 21093
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Trevi Therapeutics, Inc.
CENTRAL INDEX KEY: 0001563880
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 450834299
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 195 CHURCH STREET
STREET 2: 14TH FLOOR
CITY: NEW HAVEN
STATE: CT
ZIP: 06510
BUSINESS PHONE: 203-304-2499
MAIL ADDRESS:
STREET 1: 195 CHURCH STREET
STREET 2: 14TH FLOOR
CITY: NEW HAVEN
STATE: CT
ZIP: 06510
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-10-18
0
0001563880
Trevi Therapeutics, Inc.
TRVI
0001553150
Walker Paul Edward
1954 GREENSPRING DRIVE
SUITE 600
TIMONIUM
MD
21093
0
0
1
0
Common Stock
2021-10-18
4
P
0
1851852
A
7789850
I
See Note 2
3.5-Year Common Stock Warrant
1.37
2021-10-18
4
P
0
1851852
A
2021-10-18
2025-04-18
Common Stock
1851852
1851852
I
See Note 2
7-Year Common Stock Warrant
1.37
2021-10-18
4
P
0
1851852
A
2021-10-18
2028-10-18
Common Stock
1851852
1851852
I
See Note 2
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.
/s/ Sasha Keough, attorney-in-fact
2021-10-19