Trevi Therapeutics, Inc. — Director's Dealing 2021

Oct 19, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Trevi Therapeutics, Inc. (TRVI)
CIK: 0001563880
Period of Report: 2021-10-18

Reporting Person: Florence Anthony A. Jr. (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-10-18	Common Stock	P	1851852	—	Acquired	7789850	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-10-18	3.5-Year Common Stock Warrant	$1.37	P	1851852	Acquired	2025-04-18	Common Stock (1851852)	Indirect
2021-10-18	7-Year Common Stock Warrant	$1.37	P	1851852	Acquired	2028-10-18	Common Stock (1851852)	Indirect

Footnotes

F1: 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.

F2: 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.