TREVENA, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 37 rows, 37 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-05: Reporting owner FOREST LABORATORIES INC | FL Holding C.V. | Forest Laboratories Holdings Ltd | FLI International, LLC; Form 4; Security Series C Preferred Stock; Transaction C Conversion of derivative security.
- 2014-02-05: Reporting owner BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2014-02-05: Reporting owner BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2014-02-05: Reporting owner BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D; Form 4; Security Series B-1 Preferred Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-02-05 | FOREST LABORATORIES INC | FL Holding C.V. | Forest Laboratories Holdings Ltd | FLI International, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −18,382,352 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,000,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,400,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +550,000 1,950,000 owned after | $1.00 | 2014-02-07 | |
| 2014-02-05 | BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −487,143 1,462,857 owned after | $1.13 | 2014-02-07 | |
| 2014-02-05 | BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,462,857 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | BARRETT M JAMES | NEA Partners 12, Limited Partnership | KERINS PATRICK J | KOLLURI KRISHNA KITTU | BARRIS PETER J | BASKETT FOREST | New Enterprise Associates 12, Limited Partnership | SANDELL SCOTT D | NEA 12 GP, LLC | DRANT RYAN D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,840,686 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. | MCGUIRE TERRANCE 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −6,000,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. | MCGUIRE TERRANCE 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −8,400,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. | MCGUIRE TERRANCE 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Warrants- Purchase Series B-1 Preferred Stock (right to buy) Derivative · Indirect · See Footnotes | X Exercise of in-the-money or at-the-money derivative security | −550,000 0 owned after | $1.00 exercise price | 2014-02-07 | |
| 2014-02-05 | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. | MCGUIRE TERRANCE 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | +550,000 550,000 owned after | $1.00 | 2014-02-07 | |
| 2014-02-05 | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. | MCGUIRE TERRANCE 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnote | S Open market or private sale of non-derivative or derivative security | −487,132 62,868 owned after | $1.13 | 2014-02-07 | |
| 2014-02-05 | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. | MCGUIRE TERRANCE 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,462,868 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. | MCGUIRE TERRANCE 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −4,840,686 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | LAWLOR AUGUSTINE | LITTLECHILD JOHN W | Mirabelli Christopher | HealthCare Partners VIII, L.P. | CAVANAUGH JAMES H | HealthCare Ventures VIII, L.P. | WERNER HAROLD R | HealthCare Partners VIII, LLC 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Partnership | C Conversion of derivative security | −6,000,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | LAWLOR AUGUSTINE | LITTLECHILD JOHN W | Mirabelli Christopher | HealthCare Partners VIII, L.P. | CAVANAUGH JAMES H | HealthCare Ventures VIII, L.P. | WERNER HAROLD R | HealthCare Partners VIII, LLC 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Partnership | C Conversion of derivative security | −4,200,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | LAWLOR AUGUSTINE | LITTLECHILD JOHN W | Mirabelli Christopher | HealthCare Partners VIII, L.P. | CAVANAUGH JAMES H | HealthCare Ventures VIII, L.P. | WERNER HAROLD R | HealthCare Partners VIII, LLC 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · By Partnership | C Conversion of derivative security | −3,125,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | NOHRA GUY P | Alta Partners Management VIII, LLC | JANNEY DANIEL | Alta Partners VIII, L.P. | CHAMPSI FARAH 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · Direct and Indirect -See footnotes | C Conversion of derivative security | −6,000,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | NOHRA GUY P | Alta Partners Management VIII, LLC | JANNEY DANIEL | Alta Partners VIII, L.P. | CHAMPSI FARAH 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · Direct and Indirect - See footnotes | C Conversion of derivative security | −8,400,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | NOHRA GUY P | Alta Partners Management VIII, LLC | JANNEY DANIEL | Alta Partners VIII, L.P. | CHAMPSI FARAH 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · Direct and Indirect - See footnotes | C Conversion of derivative security | −1,950,000 0 owned after | $0.00 | 2014-02-07 | |
| 2014-02-05 | NOHRA GUY P | Alta Partners Management VIII, LLC | JANNEY DANIEL | Alta Partners VIII, L.P. | CHAMPSI FARAH 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series C Preferred Stock Derivative · Indirect · Direct and Indirect - See footnotes | C Conversion of derivative security | −4,840,686 0 owned after | $0.00 | 2014-02-07 | |
| 2014-01-30 holding as of filing | Forest Laboratories Holdings Ltd | FLI International, LLC | FOREST LABORATORIES INC | FL Holding C.V. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | HealthCare Ventures VIII, L.P. | HealthCare Partners VIII, L.P. | HealthCare Partners VIII, LLC | LITTLECHILD JOHN W | Mirabelli Christopher | LAWLOR AUGUSTINE | WERNER HAROLD R | CAVANAUGH JAMES H 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | HealthCare Ventures VIII, L.P. | HealthCare Partners VIII, L.P. | HealthCare Partners VIII, LLC | LITTLECHILD JOHN W | Mirabelli Christopher | LAWLOR AUGUSTINE | WERNER HAROLD R | CAVANAUGH JAMES H 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | HealthCare Ventures VIII, L.P. | HealthCare Partners VIII, L.P. | HealthCare Partners VIII, LLC | LITTLECHILD JOHN W | Mirabelli Christopher | LAWLOR AUGUSTINE | WERNER HAROLD R | CAVANAUGH JAMES H 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See Footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | MCGUIRE TERRANCE | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | MCGUIRE TERRANCE | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | MCGUIRE TERRANCE | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | MCGUIRE TERRANCE | Flint Jonathan A | Polaris Venture Management Co. V, L.L.C. | Polaris Venture Partners V, L.P. | Polaris Venture Partners Entrepreneurs' Fund V, L.P. | Polaris Venture Partners Special Founders' Fund V, L.P. | Polaris Venture Partners Founders' Fund V, L.P. Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | CHAMPSI FARAH | Alta Partners VIII, L.P. | NOHRA GUY P | Alta Partners Management VIII, LLC | JANNEY DANIEL Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · Direct and Indirect -See footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | CHAMPSI FARAH | Alta Partners VIII, L.P. | NOHRA GUY P | Alta Partners Management VIII, LLC | JANNEY DANIEL Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · Direct and Indirect - See footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | CHAMPSI FARAH | Alta Partners VIII, L.P. | NOHRA GUY P | Alta Partners Management VIII, LLC | JANNEY DANIEL Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · Direct and Indirect - See footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | CHAMPSI FARAH | Alta Partners VIII, L.P. | NOHRA GUY P | Alta Partners Management VIII, LLC | JANNEY DANIEL Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Indirect · Direct and Indirect - See footnotes | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | KOLLURI KRISHNA KITTU | NEA Partners 12, Limited Partnership | DRANT RYAN D | KERINS PATRICK J | BASKETT FOREST | BARRIS PETER J | SANDELL SCOTT D | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC | BARRETT M JAMES 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | KOLLURI KRISHNA KITTU | NEA Partners 12, Limited Partnership | DRANT RYAN D | KERINS PATRICK J | BASKETT FOREST | BARRIS PETER J | SANDELL SCOTT D | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC | BARRETT M JAMES 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | KOLLURI KRISHNA KITTU | NEA Partners 12, Limited Partnership | DRANT RYAN D | KERINS PATRICK J | BASKETT FOREST | BARRIS PETER J | SANDELL SCOTT D | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC | BARRETT M JAMES 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2014-01-30 | ||
| 2014-01-30 holding as of filing | KOLLURI KRISHNA KITTU | NEA Partners 12, Limited Partnership | DRANT RYAN D | KERINS PATRICK J | BASKETT FOREST | BARRIS PETER J | SANDELL SCOTT D | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC | BARRETT M JAMES 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C Preferred Stock Derivative · Direct | Holding | no price filed | 2014-01-30 |