0001209191-20-024314.txt : 20200413 0001209191-20-024314.hdr.sgml : 20200413 20200413212604 ACCESSION NUMBER: 0001209191-20-024314 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200403 FILED AS OF DATE: 20200413 DATE AS OF CHANGE: 20200413 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEA 16 GP, LLC CENTRAL INDEX KEY: 0001712882 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38886 FILM NUMBER: 20789863 BUSINESS ADDRESS: STREET 1: 1954 GREENSPRING DRIVE, SUITE 600 CITY: TIMONIUM STATE: MD ZIP: 21093 BUSINESS PHONE: 410-842-4000 MAIL ADDRESS: STREET 1: 1954 GREENSPRING DRIVE, SUITE 600 CITY: TIMONIUM STATE: MD ZIP: 21093 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEA Partners 16, L.P. CENTRAL INDEX KEY: 0001712881 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38886 FILM NUMBER: 20789864 BUSINESS ADDRESS: STREET 1: 1954 GREENSPRING DRIVE, SUITE 600 CITY: TIMONIUM STATE: MD ZIP: 21093 BUSINESS PHONE: 410-842-4000 MAIL ADDRESS: STREET 1: 1954 GREENSPRING DRIVE, SUITE 600 CITY: TIMONIUM STATE: MD ZIP: 21093 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: New Enterprise Associates 16, L.P. CENTRAL INDEX KEY: 0001694560 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38886 FILM NUMBER: 20789865 BUSINESS ADDRESS: STREET 1: 1954 GREENSPRING DRIVE STREET 2: SUITE 600 CITY: TIMONIUM STATE: MD ZIP: 21093 BUSINESS PHONE: 410-842-4000 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 2020-04-03 0 0001563880 Trevi Therapeutics, Inc. TRVI 0001694560 New Enterprise Associates 16, L.P. 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 0001712881 NEA Partners 16, L.P. 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 0001712882 NEA 16 GP, LLC 1954 GREENSPRING DRIVE SUITE 600 TIMONIUM MD 21093 0 0 1 0 Common Stock 2020-04-03 4 X 0 1500000 0.001 A 5938562 D Common Stock 2020-04-03 4 S 0 564 2.66 D 5937998 D Call Option (right to buy) 0.001 2020-04-03 4 X 0 1500000 0.00 D 2019-05-09 2022-05-06 Common Stock 1500000 0 D The shares are directly held by New Enterprise Associates 16, L.P. ("NEA 16"), and indirectly held by NEA Partners 16, L.P. ("NEA Partners"), the sole general partner of NEA 16, NEA 16 GP, LLC ("NEA 16 GP"), the sole general partner of NEA Partners 16, and the individual managers of NEA 16 GP (NEA Partners 16, NEA 16 GP and the individual managers of NEA 16 GP, together, the "Indirect Reporting Persons").The individual managers of NEA 16 GP are Forest Baskett, Ali Behbahani, Carmen Chang, Anthony A. Florence, Jr., Mohamad Makhzoumi, Josh Makower, Scott D. Sandell, Peter W. Sonsini and Paul Walker. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 16 in which the Indirect Reporting Persons have no pecuniary interest. On April 3, 2020, NEA 16 exercised a call option to purchase 1,500,000 shares of the Issuer's common stock ("Common Stock") for $0.001 per share. NEA 16 paid the exercise price through the forfeiture of 564 shares of Common Stock. The call option became exercisable upon the closing of the Issuer's initial public offering. /s/ Sasha Keough, Attorney-in-Fact 2020-04-13