SEC Form 4 · accession 0001209191-17-014568
TREVENA INC · TRVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maxine Gowen
Officer — President & CEO · Director
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 8:34 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001429560
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 23, 2017 | M | 110,403 | $0.682 | A | 126,903 | D | |
| Common StockF1 | holding | — | — | — | 154,000 | I | By Spouse | |
| Common StockF2 | holding | — | — | — | 139,109 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $0.682 | Feb 23, 2017 | M | 4,074 | D | — | Jun 23, 2021 | Common Stock | 4,074 | 0 | D |
| Employee Stock Option (Right to Buy)F3 | $0.682 | Feb 23, 2017 | M | 106,329 | D | — | Sep 10, 2020 | Common Stock | 106,329 | 0 | D |
Explanation of responses
- F1These shares are held directly by the reporting person's spouse. The reporting person disclaims beneficial ownership of the shares held by her spouse, and this report should not be deemed an admission that the reporting person is the beneficial owner of her spouse's shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F2These shares are held by the Brian MacDonald Irrevocable Trust. The reporting person's spouse is the beneficiary and the Trustee of the Brian MacDonald Irrevocable Trust. The reporting person disclaims beneficial ownership of the shares held by the Brian MacDonald Irrevocable Trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of her children's shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F3Immediately exercisable.