0001209191-22-024319.txt : 20220413 0001209191-22-024319.hdr.sgml : 20220413 20220413172134 ACCESSION NUMBER: 0001209191-22-024319 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220411 FILED AS OF DATE: 20220413 DATE AS OF CHANGE: 20220413 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: 22825423 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 2022-04-11 0 0001563880 Trevi Therapeutics, Inc. TRVI 0001630226 Makhzoumi Mohamad 2855 SAND HILL ROAD MENLO PARK CA 94025 0 0 1 0 Common Stock 2022-04-11 4 P 0 2631578 1.90 A 10421428 I See Note 2 Common Stock 2022-04-11 4 P 0 948948 1.90 A 948948 I See Note 3 Pre-Funded Warrants 0.001 2022-04-11 4 P 0 3000000 1.899 A Common Stock 3000000 3000000 I See Note 3 Acquired from the Issuer on April 11, 2022 pursuant to a Securities Purchase Agreement dated April 6, 2022. 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 New Enterprise Associates 16, L.P. ("NEA 16"), which is 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 NEA 16 securities in which the Reporting Person has no pecuniary interest. The Reporting Person is a manager of NEA 18 VG GP, LLC, which is the sole general partner of NEA Partners 18 VG, L.P. ("NEA Partners 18 VG"). NEA Partners 18 VG is the sole general partner of NEA 18 Venture Growth Equity, L.P. ("NEA 18 VGE"), 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 18 VGE in which the Reporting Person has no pecuniary interest. The Pre-Funded Warrants are exercisable immediately and will be exercisable until exercised in full. The Pre-Funded Warrants may not be exercised to the extent such exercise would cause the holder (together with its affiliates, any other persons acting as a group together with the holder or any of the holder's affiliates, and any other persons whose beneficial ownership of the Issuer's common stock would or could be aggregated with the holder's for purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934, as amended) to beneficially own more than 9.99% of the Issuer's common stock outstanding immediately after giving effect to such exercise, which percentage may be increased or decreased at the holder's election upon 61 days' notice to the Issuer, not to exceed 19.99%. /s/Louis Citron, attorney-in-fact 2022-04-13