1 unchanged sentence
Unregistered Sales of Equity Securities
−Removed: Except as previously disclosed on a Current Report on Form 8-K (File No.
−Removed: 001-38886) that we filed with the SEC on June 21, 2021, we did not sell or issue any equity securities during the three months ended September 30, 2021 that were not registered under the Securities Act.
−Removed: Use of Proceeds from IPO of Common Stock
−Removed: On May 9, 2019, we closed our IPO, in which we issued and sold 5,500,000 shares of common stock at a public offering price of $10.00 per share.
−Removed: The aggregate gross proceeds to us from our IPO were $55.0 million.
−Removed: All of the shares of common stock issued and sold in our IPO were registered under the Securities Act pursuant to a registration statement on Form S-1 (Registration No.
−Removed: 333-230745), which was declared effective by the SEC on May 7, 2019.
−Removed: The aggregate net proceeds to us from the IPO were approximately $48.2 million, after deducting underwriting discounts and commissions and offering expenses payable by us of approximately $6.8 million.
−Removed: No offering expenses were paid directly or indirectly to any of our directors or officers (or their associates) or persons owning 10% or more of any class of our equity securities or to any other affiliates.
−Removed: As of September 30, 2021, we used approximately $43.5 million of the net proceeds from the IPO to fund the development of Haduvio for the treatment of pruritus associated with prurigo nodularis, the treatment of chronic cough in patients with IPF and general corporate purposes.
−Removed: There has been no material change in our planned use of the net proceeds from the IPO as described in our final prospectus for the IPO filed with the SEC pursuant to Rule 424(b) under the Securities Act.
−Removed: We have invested the net proceeds from the IPO in money market funds.
−Removed: Form of Pre-Funded Warrant dated October 5, 2021 (incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 1, 2021)
−Removed: Form of 7-Year Common Stock Warrant dated October 5, 2021 (incorporated by reference to Exhibit 4.2 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 1, 2021)
−Removed: Form of 3.5-Year Common Stock Warrant dated October 5, 2021 (incorporated by reference to Exhibit 4.3 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 1, 2021)
−Removed: Form of 7-Year Common Stock Warrant dated October 18, 2021 (incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 19, 2021)
−Removed: Form of 3.5-Year Common Stock Warrant dated October 18, 2021 (incorporated by reference to Exhibit 4.2 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 19, 2021)
−Removed: First Amendment to Loan and Security Agreement, dated July 6, 2021, by and between Silicon Valley Bank and the Registrant (incorporated by reference to Exhibit 99.1 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on July 7, 2021)
−Removed: Second Amendment to Loan and Security Agreement, dated August 13, 2021, by and between Silicon Valley Bank and the Registrant
−Removed: Form of Securities Purchase Agreement dated September 30, 2021 (incorporated by reference to Exhibit 99.1 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 1, 2021)
−Removed: Form of Registration Rights Agreement dated September 30, 2021 (incorporated by reference to Exhibit 99.2 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 1, 2021)
−Removed: Form of Securities Purchase Agreement dated October 15, 2021 (incorporated by reference to Exhibit 99.1 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 19, 2021)
−Removed: Form of Registration Rights Agreement dated October 15, 2021 (incorporated by reference to Exhibit 99.2 to the Registrant’s Current Report on Form 8-K (File No.
−Removed: 001-38886) filed with the SEC on October 19, 2021)
+Added: We did not sell or issue any equity securities during the three months ended March 31, 2022 that were not registered under the Securities Act of 1933, as amended, or the Securities Act.
+Added: Form of Pre-Funded Warrant (incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K (File no.
+Added: 001-38886) filed with the SEC on April 7, 2022)
+Added: Offer Letter, dated January 8, 2021, by and between the Registrant and William B.
+Added: Securities Purchase Agreement, dated April 6, 2022, by and among the Registrant and the Purchasers named therein (incorporated by reference to Exhibit 99.1 to the Registrant’s Current Report on Form 8-K (File no.
+Added: 001-38886) filed with the SEC on April 7, 2022)
+Added: Registration Rights Agreement, dated April 6, 2022, by and among the Registrant and the Purchasers named therein (incorporated by reference to Exhibit 99.2 to the Registrant’s Current Report on Form 8-K (File no.
+Added: 001-38886) filed with the SEC on April 7, 2022)
+Added: Third Amendment to Loan and Security Agreement, dated April 6, 2022, by and between Silicon Valley Bank and the Registrant (incorporated by reference to Exhibit 99.3 to the Registrant’s Current Report on Form 8-K (File no.
+Added: 001-38886) filed with the SEC on April 7, 2022)
Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
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TREVI THERAPEUTICS, INC.
−Removed: November 10, 2021
/s/ Jennifer L.
5 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.