FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/30/2014 |
3. Issuer Name and Ticker or Trading Symbol
TREVENA INC [ TRVN ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 27,217 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (1) | 06/17/2023 | Common Stock | 98,660 | $2.232 | D | |
Employee Stock Option (Right to Buy) | (2) | 09/10/2020 | Common Stock | 36,929 | $0.682 | D | |
Employee Stock Option (Right to Buy) | (3) | 06/23/2021 | Common Stock | 570 | $0.682 | D | |
Employee Stock Option (Right to Buy) | (4) | 10/17/2022 | Common Stock | 32,258 | $0.682 | D | |
Employee Stock Option (Right to Buy) | (5) | 11/30/2019 | Common Stock | 1,814 | $0.062 | D |
Explanation of Responses: |
1. One-sixteenth of the shares vested on August 3, 2013 and one-sixteenth vest quarterly thereafter. |
2. As of January 30, 2014, 33,870 of the shares underlying this option shall be vested. On April 8, 2014 and July 8, 2014, subject to the reorting person's continuous service to the issuer through such date, 2,419 and 640 shares underlying this option shall become vested, respectively. |
3. As of January 30, 2014, 522 of the shares underlying this option shall be vested. On April 8, 2014 and July 8, 2014, subject to the reporting person's continuous service to the issuer through such date, 37 and 11 shares underlying this option shall become vested, respectively. |
4. One-sixteenth of the shares vested on December 1, 2012 and one-sixteenth vest quarterly thereafter. |
5. One-eighth of the shares vested on May 23, 2010 and thereafter, on a quarterly basis measured from May 23, 2010, the option shall become vested with respect to an additional 1/16th of the total number of shares of stock subject to the option, until such time as the option is vested with respect to all the shares of stock subject to the option. |
Remarks: |
/s/Derek Colla, Attorney-in-Fact for David Soergel | 01/30/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |