3: Initial statement of beneficial ownership of securities
Published on January 30, 2014
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | (1) | 01/27/2020 | Common Stock | 302 | $ 0.062 | D | |
Employee Stock Option (Right to Buy) | (2) | 09/10/2020 | Common Stock | 34,510 | $ 0.682 | D | |
Employee Stock Option (Right to Buy) | (3) | 06/23/2021 | Common Stock | 570 | $ 0.682 | D | |
Employee Stock Option (Right to Buy) | (4) | 06/17/2023 | Common Stock | 71,683 | $ 2.232 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Deegan Rosamond C/O TREVENA, INC. 1018 WEST 8TH AVENUE, SUITE A KING OF PRUSSIA, PA 19406 |
Sr VP, Bus Dev & Operations |
Signatures
/s/Derek Colla, Attorney-in-Fact | 01/30/2014 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Fully vested. |
(2) | As of January 30, 2014, 31,451 of the shares underlying this option shall be vested. On April 8, 2014 and July 8, 2014, subject to the reporting person's continuous service to the issuer through such date, 2,419 and 640 shares underlying this option shall become vested, respectively. |
(3) | As of January 30, 2014, 522 of the shares underlying this option shall be vested. On April 8, 2014 and July 8, 2014, subject to the reporting person's continuous service to the issuer through such date, 37 and 11 shares underlying this option shall become vested, respectively. |
(4) | One-sixteenth of the shares vested on August 3, 2013 and one-sixteenth vest quarterly thereafter. |