3: Initial statement of beneficial ownership of securities
Published on February 8, 2018
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) | 06/17/2023 | Common Stock | 49,190 | $ 2.23 | D | |
Employee Stock Option (Right to Buy) | (2) | 02/20/2024 | Common Stock | 12,000 | $ 7.4 | D | |
Employee Stock Option (Right to Buy) | (3) | 03/17/2025 | Common Stock | 10,000 | $ 6.79 | D | |
Employee Stock Option (Right to Buy) | (4) | 03/03/2026 | Common Stock | 16,875 | $ 8.82 | D | |
Employee Stock Option (Right to Buy) | (5) | 01/06/2027 | Common Stock | 8,500 | $ 6.61 | D | |
Employee Stock Option (Right to Buy) | (6) | 03/02/2027 | Common Stock | 19,369 | $ 4.13 | D | |
Employee Stock Option (Right to Buy) | (7) | 04/10/2027 | Common Stock | 30,000 | $ 3.34 | D | |
Employee Stock Option (Right to Buy) | (8) | 08/28/2027 | Common Stock | 35,000 | $ 2.27 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Violin Jonathan C/O TREVENA, INC. 955 CHESTERBROOK BOULEVARD, SUITE 200 CHESTERBROOK, PA 19087 |
SVP-Scientific Affairs & IR |
Signatures
/s/ John Limongelli, Attorney-in-Fact | 02/08/2018 | |
**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) | Immediately exercisable. |
(2) | 11,250 of the shares underlying the option are immediately exercisable and the remaining 750 shares underlying the option shall vest and become exercisable on March 1, 2018, subject to the reporting person providing Continuous Service (as defined in the Trevena, Inc. 2013 Equity Incentive Plan, as amended (the "Plan")) to the Issuer on such date. |
(3) | The option shall vest and become exercisable in 4 equal annual installments beginning on March 17, 2016, subject to the reporting person providing Continuous Service, as that term is defined in the Plan, as of each such vesting date. |
(4) | The option shall vest and become exercisable in 4 equal annual installments beginning on March 3, 2017, subject to the reporting person providing Continuous Service, as that term is defined in the Plan, as of each such vesting date. |
(5) | The option shall vest and become exercisable in 4 equal annual installments beginning on January 6, 2018, subject to the reporting person providing Continuous Service, as that term is defined in the Plan, as of each such vesting date. |
(6) | The option shall vest and become exercisable in 4 equal annual installments beginning on March 2, 2018, subject to the reporting person providing Continuous Service, as that term is defined in the Plan, as of each such vesting date. |
(7) | The option shall vest and become exercisable in 4 equal annual installments beginning on April 10, 2018, subject to the reporting person providing Continuous Service, as that term is defined in the Plan, as of each such vesting date. |
(8) | The option shall vest and become exercisable with respect to one-sixteenth of the total number of shares subject to the option on a quarterly basis (every three months) from August 28, 2017, subject to the reporting person's Continuous Service, as that term is defined in the Plan, as of each such vesting date. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |