0001209191-21-061095.txt : 20211019 0001209191-21-061095.hdr.sgml : 20211019 20211019211415 ACCESSION NUMBER: 0001209191-21-061095 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: Makhzoumi Mohamad CENTRAL INDEX KEY: 0001630226 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38886 FILM NUMBER: 211332547 MAIL ADDRESS: STREET 1: 2855 SAND HILL ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 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 0001630226 Makhzoumi Mohamad 2855 SAND HILL ROAD MENLO PARK CA 94025 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