0000899243-19-013262.txt : 20190513 0000899243-19-013262.hdr.sgml : 20190513 20190513170352 ACCESSION NUMBER: 0000899243-19-013262 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190509 FILED AS OF DATE: 20190513 DATE AS OF CHANGE: 20190513 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Meeker David P CENTRAL INDEX KEY: 0001385155 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38886 FILM NUMBER: 19819224 MAIL ADDRESS: STREET 1: C/O PENWEST PHARMACEUTICALS CO STREET 2: 39 OLD RIDGEBURY ROAD SUITE 11 CITY: DANBURY STATE: CT ZIP: 06810 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 2019-05-09 0 0001563880 Trevi Therapeutics, Inc. TRVI 0001385155 Meeker David P C/O TREVI THERAPEUTICS, INC. 195 CHURCH STREET, 14TH FLOOR NEW HAVEN CT 06510 1 0 1 0 Common Stock 2019-05-09 4 C 0 300536 A 300536 D Common Stock 2019-05-09 4 C 0 27432 A 327968 I By Trevi 2014 Irrevocable Trust Common Stock 2019-05-09 4 C 0 13271 A 341239 I By Spinnaker Trust as Trustee for Trevi 2014 Irrevocable Trust Common Stock 2019-05-09 4 P 0 11250 10.00 A 352489 D Series A Preferred Stock 2019-05-09 4 C 0 924880 0.00 D Common Stock 128243 0 D Series A Preferred Stock 2019-05-09 4 C 0 192000 0.00 D Common Stock 27432 0 I By Trevi 2014 Irrevocable Trust Series A Preferred Stock 2019-05-09 4 C 0 95712 0.00 D Common Stock 13271 0 I By Spinnaker Trust as Trustee for Trevi 2014 Irrevocable Trust Series B Preferred Stock 2019-05-09 4 C 0 869565 0.00 D Common Stock 116375 0 D Series C Preferred Stock 2019-05-09 4 C 0 478951 0.00 D Common Stock 55918 0 D On May 9, 2019, the Series A Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. On May 9, 2019, the Series B Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. On May 9, 2019, the Series C Preferred Stock, and the dividends that had accrued thereon to date, converted into Common Stock on a 9.5-for-one basis without payment of further consideration automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. /s/ David P. Meeker 2019-05-09