TREVENA, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows, 3 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 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 Warrants; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-01-30: Reporting owner 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.; Form 3; Security Series B-1 Warrants; Transaction Holding.
- 2014-01-30: Reporting owner 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; Form 3; Security Series B-1 Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 Warrants Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −550,000 0 owned after | $1.00 exercise price | 2014-02-07 | |
| 2014-01-30 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 Warrants Derivative · Indirect · See footnotes | Holding | $1.00 exercise price | 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 Warrants Derivative · Direct | Holding | $1.00 exercise price | 2014-01-30 |