SC 13G/A: Trevi Therapeutics, Inc.

AI Summary

SC 13G/A filing by Trevi Therapeutics, Inc..

Risk Assessment

Risk Level: low

Key Financial Figures

• $0.001 — Inc. (Name of Issuer) Common stock, $0.001 par value per share (Title of Class o

Filing Documents

• sayw24021419_13ga.htm (SC 13G/A) — 371KB
• 0000905148-24-000622.txt ( ) — 373KB

(a)

Item 1(a) . Name of Issuer : Trevi Therapeutics, Inc.

(b)

Item 1(b) . Address of Issuer's Principal Executive Offices : 195 Church Street, 16th Floor, New Haven, Connecticut 06510

(a)

Item 2(a) . Name of Person Filing : Viking Global Investors LP ("VGI"), Viking Global Opportunities Parent GP LLC ("Opportunities Parent"), Viking Global Opportunities GP LLC ("Opportunities GP"), Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"), Viking Global Opportunities Illiquid Investments Sub-Master LP ("VGOP"), Viking Global Opportunities Drawdown GP LLC ("VGOD GP"), Viking Global Opportunities Drawdown Portfolio GP LLC ("VGOD Portfolio GP"), Viking Global Opportunities Drawdown (Aggregator) LP ("VGOD"), O. Andreas Halvorsen, David C. Ott and Rose S. Shabet (collectively, the "Reporting Persons").

(b)

Item 2(b) . Address of Principal Business Office or, if none, Residence : The business address of each of the Reporting Persons is: 600 Washington Boulevard, Floor 11, Stamford, Connecticut 06901 .

(c)

Item 2(c) . Citizenship : VGI is a Delaware limited partnership; Opportunities Parent, Opportunities GP, Opportunities Portfolio GP, VGOD GP, and VGOD Portfolio GP are Delaware limited liability companies; VGOP and VGOD are Cayman Islands exempted limited partnerships; O. Andreas Halvorsen is a citizen of Norway; and David C. Ott and Rose S. Shabet are citizens of the United States.

(d)

Item 2(d) . Titles of Classes of Securities : Common stock, $0.001 par value per share ("Common Stock")

(e)

Item 2(e) . CUSIP NUMBER : 89532M101 Item 3 . If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a : (a) Broker or dealer registered under Section 15 of the Exchange Act (b) Bank as defined in Section 3(a)(6) of the Exchange Act (c) Insurance company as defined in Section 3(a)(19) of the Exchange Act (d) Investment company registered under Section 8 of the Investment Company Act of 1940 (e) Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940: see Rule 13d-1(b)(1)(ii)(E) (f) Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F) (g) Parent holding company, in accordance with Rule 13d-1(b)(1)(ii)(G). (h) Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940. (j) Non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: (k) Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). CUSIP No. 89532M101 13G Page 14 of 21 Pages Item 4 . This Statement on Schedule 13G relates to shares of Common Stock and pre-funded warrants to purchase shares of Common Stock with an exercise price of $0.001 per share (the "Warrants") held directly by VGOP and VGOD. VGOP directly owns 2,948,000 shares of Common Stock and Warrants with the right to purchase 3,995,005 shares of Common Stock. VGOD directly owns 1,452,000 shares of Common Stock and Warrants with the right to purchase 1,967,689 shares of Common Stock. However, the terms of the Warrants provide that no holder of Warrants shall have the right to exercise any portion of the Warrants

SIGNATURES

SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2024 By: /s/ Scott M. Hendler Name: Scott M. Hendler on behalf of O. Andreas Halvorsen (1) By: /s/ Scott M. Hendler Name: Scott M. Hendler on behalf of David C. Ott (2) By: /s/ Scott M. Hendler Name: Scott M. Hendler on behalf of Rose S. Shabet (3) (1) Scott M. Hendler is signing on behalf of O. Andreas Halvorsen, individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL OPPORTUNITIES PARENT GP LLC, on behalf of itself and VIKING GLOBAL OPPORTUNITIES GP LLC, VIKING GLOBAL OPPORTUNITIES PORTFOLIO GP LLC, VIKING GLOBAL OPPORTUNITIES ILLIQUID INVESTMENTS SUB-MASTER LP, VIKING GLOBAL OPPORTUNITIES DRAWDOWN GP LLC, VIKING GLOBAL OPPORTUNITIES DRAWDOWN PORTFOLIO GP LLC and VIKING GLOBAL OPPORTUNITIES DRAWDOWN (AGGREGATOR) LP, pursuant to an authorization and designation letter dated February 9, 2021, which was previously filed with the Commission as an exhibit to a Form 13G filed by Mr. Halvorsen on February 12, 2021 (SEC File No. 005-49737). (2) Scott M. Hendler is signing on behalf of David C. Ott, individually and as an Executive Committee Member of VIKING GLOBAL PARTNERS LLC, on behalf of VIKING GLOBAL INVESTORS LP, and as an Executive Committee Member of VIKING GLOBAL OPPORTUNITIES PARENT GP LLC, on behalf of itself and VIKING GLOBAL OPPORTUNITIES GP LLC, VIKING GLOBAL OPPORTUNITIES PORTFOLIO GP LLC, VIKING GLOBAL OPPORTUNITIES ILLIQUID INVESTMENTS SUB-MASTER LP, VIKING GLOBAL OPPORTUNITIES DRAWDOWN GP LLC, VIKING GLOBAL OPPORTUNITIES DRAWDOWN PORTFOLIO GP LLC and VIKING GLOBAL OPPORTUNITI

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