0001209191-14-008252.txt : 20140207 0001209191-14-008252.hdr.sgml : 20140207 20140207120203 ACCESSION NUMBER: 0001209191-14-008252 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140205 FILED AS OF DATE: 20140207 DATE AS OF CHANGE: 20140207 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WERNER HAROLD R CENTRAL INDEX KEY: 0001013603 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36193 FILM NUMBER: 14582867 MAIL ADDRESS: STREET 1: C/O HEALTHCARE VENTURES LLC STREET 2: 44 NASSAU STREET CITY: PRINCETON STATE: NJ ZIP: 08542 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mirabelli Christopher CENTRAL INDEX KEY: 0001262326 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36193 FILM NUMBER: 14582868 MAIL ADDRESS: STREET 1: 55 CAMBRIDGE PARKWAY STREET 2: SUITE 301 CITY: CAMBRIDGE STATE: MA ZIP: 02142 FORMER NAME: FORMER CONFORMED NAME: MIRAELLI CHRISTOPHER DATE OF NAME CHANGE: 20030904 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LITTLECHILD JOHN W CENTRAL INDEX KEY: 0001013469 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36193 FILM NUMBER: 14582869 MAIL ADDRESS: STREET 1: 55 CAMBRIDGE PARKWAY STREET 2: SUITE 301 CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAWLOR AUGUSTINE CENTRAL INDEX KEY: 0001262327 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36193 FILM NUMBER: 14582870 MAIL ADDRESS: STREET 1: 55 CAMBRIDGE PARKWAY STREET 2: SUITE 301 CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCare Partners VIII, L.P. CENTRAL INDEX KEY: 0001358991 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36193 FILM NUMBER: 14582871 BUSINESS ADDRESS: STREET 1: 44 NASSAU STREET CITY: PRINCETON STATE: NJ ZIP: 08542 BUSINESS PHONE: 609-430-3913 MAIL ADDRESS: STREET 1: 44 NASSAU STREET CITY: PRINCETON STATE: NJ ZIP: 08542 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CAVANAUGH JAMES H CENTRAL INDEX KEY: 0001013473 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36193 FILM NUMBER: 14582873 MAIL ADDRESS: STREET 1: 265 HOTHORPE LANE CITY: VILLANOVA STATE: PA ZIP: 19085 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCare Ventures VIII, L.P. CENTRAL INDEX KEY: 0001358990 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36193 FILM NUMBER: 14582874 BUSINESS ADDRESS: STREET 1: 44 NASSAU STREET CITY: PRINCETON STATE: NJ ZIP: 08542 BUSINESS PHONE: 609-430-3913 MAIL ADDRESS: STREET 1: 44 NASSAU STREET CITY: PRINCETON STATE: NJ ZIP: 08542 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TREVENA INC CENTRAL INDEX KEY: 0001429560 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1018 WEST 8TH AVENUE, SUITE A CITY: KING OF PRUSSIA STATE: PA ZIP: 19406 BUSINESS PHONE: 610-354-8840 MAIL ADDRESS: STREET 1: 1018 WEST 8TH AVENUE, SUITE A CITY: KING OF PRUSSIA STATE: PA ZIP: 19406 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HealthCare Partners VIII, LLC CENTRAL INDEX KEY: 0001358992 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36193 FILM NUMBER: 14582872 BUSINESS ADDRESS: STREET 1: 44 NASSAU STREET CITY: PRINCETON STATE: NJ ZIP: 08542 BUSINESS PHONE: 609-430-3913 MAIL ADDRESS: STREET 1: 44 NASSAU STREET CITY: PRINCETON STATE: NJ ZIP: 08542 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-02-05 1 0001429560 TREVENA INC TRVN 0001358990 HealthCare Ventures VIII, L.P. C/O HEALTHCARE VENTURES LLC, 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001013473 CAVANAUGH JAMES H C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001358992 HealthCare Partners VIII, LLC C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001358991 HealthCare Partners VIII, L.P. C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001262327 LAWLOR AUGUSTINE C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001013469 LITTLECHILD JOHN W C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 0001262326 Mirabelli Christopher C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 1 0 1 0 0001013603 WERNER HAROLD R C/O HEALTHCARE VENTURES LLC 47 THORNDIKE STREET, SUITE B1-1 CAMBRIDGE MA 02141 0 0 1 0 Common Stock 2014-02-05 4 C 0 967741 0.00 A 967741 I By Partnership Common Stock 2014-02-05 4 C 0 677419 0.00 A 1645160 I By Partnership Common Stock 2014-02-05 4 C 0 504033 0.00 A 2149193 I By Partnership Common Stock 2014-02-05 4 P 0 297058 7.00 A 2446251 I By Partnership Series A Preferred Stock 2014-02-05 4 C 0 6000000 0.00 D Common Stock 967741 0 I By Partnership Series B Preferred Stock 2014-02-05 4 C 0 4200000 0.00 D Common Stock 677419 0 I By Partnership Series C Preferred Stock 2014-02-05 4 C 0 3125000 0.00 D Common Stock 504033 0 I By Partnership Each share of convertible preferred stock was convertible at any time, at the holder's election, into the issuer's common stock on a 6.2 to 1 basis. Effective immediately prior to the closing of the issuer's initial public offering of its common stock, each share of convertible preferred stock automatically converted on a 6.2 to 1 basis into shares of common stock of the issuer. The convertible preferred stock had no expiration date. The securities are held of record by HealthCare Ventures VIII, L.P. ("HCVVIII"). HealthCare Partners VIII, L.P. ("HCPVIII") is the General Partner of HCVVIII and HealthCare Partners VIII, LLC (the "LLC") is the General Partner of HCPVIII. Each of James Cavanaugh, Harold Werner, John Littlechild, Christopher Mirabelli and Augustine Lawlor are the managing directors of the LLC and exercise shared voting and investment power with respect to the shares owned by HCVVIII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Dr. Mirabelli is also a director of the issuer. Includes one share of common stock issued to the reporting persons in connection with the aggregation of fractional shares. These shares were purchased by HCVVIII. Please note that each of the reporting persons are no longer subject to Section 16 reporting requirements with the exception of Christopher Mirabelli, who will have an ongoing reporting obligation as a director of the issuer. /s/Jeffrey B. Steinberg, Administrative Partner of HealthCare Ventures VIII, L.P. 2014-02-07 Jeffrey B. Steinberg, Attorney-in-Fact for James H. Cavanaugh 2014-02-07 Jeffrey B. Steinberg, Administrative Officer of HealthCare Partners VIII LLC 2014-02-07 Jeffrey B. Steinberg, Administrative Partner of HealthCare Partners VIII, LP 2014-02-07 Jeffrey B. Steinberg, Attorney-in-Fact for Augustine Lawlor 2014-02-07 Jeffrey B. Steinberg, Attorney-in-Fact for John Littlechild 2014-02-07 Jeffrey B. Steinberg, Attorney-in-Fact for Christopher Mirabelli 2014-02-07 Jeffrey B. Steinberg, Attorney-in-Fact for Harold Werner 2014-02-07