# EDGAR Filing Document

**Accession Number:** 0001622627
**File Stem:** 0001622627-23-000007
**Filing Date:** 2023-2
**Character Count:** 17001
**Document Hash:** 255c5145fe8af484431c079c68d8dab8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001622627-23-000007.hdr.sgml**: 20230215

**ACCESSION NUMBER**: 0001622627-23-000007

**CONFORMED SUBMISSION TYPE**: SC 13G

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20230215

**DATE AS OF CHANGE**: 20230215

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Trevi Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001563880
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 450834299
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13G
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-91005
- **FILM NUMBER:** 23634735

**BUSINESS ADDRESS:**
- **STREET 1:** 195 CHURCH STREET
- **STREET 2:** 14TH FLOOR
- **CITY:** NEW HAVEN
- **STATE:** CT
- **ZIP:** 06510
- **BUSINESS PHONE:** 203-304-2499

**MAIL ADDRESS:**
- **STREET 1:** 195 CHURCH STREET
- **STREET 2:** 14TH FLOOR
- **CITY:** NEW HAVEN
- **STATE:** CT
- **ZIP:** 06510
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Rosalind Advisors, Inc.
- **CENTRAL INDEX KEY:** 0001622627
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** A6
- **FISCAL YEAR END:** 1130

**FILING VALUES:**
- **FORM TYPE:** SC 13G

**BUSINESS ADDRESS:**
- **STREET 1:** 25 ADMIRAL ROAD
- **CITY:** TORONTO
- **STATE:** A6
- **ZIP:** M5R 2L4
- **BUSINESS PHONE:** 4168887606

**MAIL ADDRESS:**
- **STREET 1:** 15 WELLESLEY STREET WEST
- **STREET 2:** SUITE 326
- **CITY:** TORONTO
- **STATE:** A6
- **ZIP:** M4Y 0G7

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**UNITED STATES** <br>**SECURITIES AND EXCHANGE COMMISSION** <br>**Washington, D.C. 20549**

**SCHEDULE 13G/A**

**(Amendment No. 1)**

**Under the Securities Exchange Act of 1934** <br>

Trevi Therapeutics, Inc.

(Name of Issuer)

Common Shares

(Title of Class of Securities)

89532M101

(CUSIP Number)

December 31, 2022

(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:<br>◻ Rule 13d-1(b)<br>⌧ Rule 13d-1(c)<br>◻ Rule 13d-1(d)

<sup>\*</sup> The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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NYC#: 139632.2

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| | | |
|:---|:---|:---|
| CUSIP No. **89532M101** | 13G/A | Page 2 of 9 Pages |

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1. NAMES OF REPORTING PERSONS<br>I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)<br>Rosalind Advisors, Inc.

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br>(see instructions)<br>(a)&nbsp;&nbsp;&nbsp;&nbsp; ◻ <br>(b)&nbsp;&nbsp;&nbsp;&nbsp; ◻

3. SEC USE ONLY<br>

4. CITIZENSHIP OR PLACE OF ORGANIZATION<br>ONTARIO, CANADA

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| | | |
|:---|:---|:---|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE VOTING POWER <br>0 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 6. | SHARED VOTING POWER<br>2,499,993  |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE DISPOSITIVE POWER<br>0 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 8. | SHARED DISPOSITIVE POWER<br>2,499,993  |

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9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON <br>2,499,993

10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES<br>(see instructions)&nbsp;&nbsp;&nbsp;&nbsp; ◻

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) <br>4.2% <sup>[<sup>1</sup>](#_ftnf1)</sup>

12. TYPE OF REPORTING PERSON (see instructions) <br>CO

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<sup>[<sup>1</sup>](#_ftnb1)</sup> This percentage is calculated based upon 59,922,945 shares of the Issuer's common stock outstanding as of November 10<sup>th</sup>, 2022 in accordance with 10-Q filed on November 10<sup>th</sup>, 2022.

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NYC#: 139632.2

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|:---|:---|:---|
| CUSIP No. **89532M101** | 13G/A/A | Page 3 of 9 Pages |

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1. NAMES OF REPORTING PERSONS<br>I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)<br>Steven Salamon

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br>(see instructions)<br>(a)&nbsp;&nbsp;&nbsp;&nbsp; ◻ <br>(b)&nbsp;&nbsp;&nbsp;&nbsp; ◻

3. SEC USE ONLY<br>

4. CITIZENSHIP OR PLACE OF ORGANIZATION<br>ONTARIO, CANADA

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| | | |
|:---|:---|:---|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE VOTING POWER<br>0 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 6. | SHARED VOTING POWER<br>2,499,993 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE DISPOSITIVE POWER<br>0 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 8. | SHARED DISPOSITIVE POWER<br>2,499,993 |

---

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON <br>2,499,993

10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES<br>(see instructions)&nbsp;&nbsp;&nbsp;&nbsp; ◻

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) <br>4.2%<sup>[<sup>2</sup>](#_ftnf2)</sup>

12. TYPE OF REPORTING PERSON (see instructions) <br>IN

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<sup>[<sup>2</sup>](#_ftnb2)</sup> This percentage is calculated based upon 59,922,945 shares of the Issuer's common stock outstanding as of November 10<sup>th</sup>, 2022 in accordance with 10-Q filed on November 10<sup>th</sup>, 2022.

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NYC#: 139632.2

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|:---|:---|:---|
| CUSIP No. **89532M101** | 13G/A/A | Page 4 of 9 Pages |

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1. NAMES OF REPORTING PERSONS<br>I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)<br>Gilad Aharon

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br>(see instructions)<br>(a)&nbsp;&nbsp;&nbsp;&nbsp; ◻ <br>(b)&nbsp;&nbsp;&nbsp;&nbsp; ◻

3. SEC USE ONLY<br>

4. CITIZENSHIP OR PLACE OF ORGANIZATION<br>ONTARIO, CANADA

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| | | |
|:---|:---|:---|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE VOTING POWER<br>0 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 6. | SHARED VOTING POWER<br>2,499,993 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE DISPOSITIVE POWER<br>0 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 8. | SHARED DISPOSITIVE POWER<br>2,499,993 |

---

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON <br>2,499,993

10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES<br>(see instructions)&nbsp;&nbsp;&nbsp;&nbsp; ◻

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) <br>4.2%<sup>[<sup>3</sup>](#_ftnf3)</sup>

12. TYPE OF REPORTING PERSON (see instructions) <br>IN

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<sup>[<sup>3</sup>](#_ftnb3)</sup> This percentage is calculated based upon 59,922,945 shares of the Issuer's common stock outstanding as of November 10<sup>th</sup>, 2022 in accordance with 10-Q filed on November 10<sup>th</sup>, 2022.

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NYC#: 139632.2

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| | | |
|:---|:---|:---|
| CUSIP No. **89532M101** | 13G/A | Page 5 of 9 Pages |

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1. NAMES OF REPORTING PERSONS<br>I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)<br>Rosalind Master Fund L.P.

2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP<br>(see instructions)<br>(a)&nbsp;&nbsp;&nbsp;&nbsp; ◻ <br>(b)&nbsp;&nbsp;&nbsp;&nbsp; ◻

3. SEC USE ONLY<br>

4. CITIZENSHIP OR PLACE OF ORGANIZATION<br>CAYMAN ISLANDS

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| | | |
|:---|:---|:---|
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE VOTING POWER<br>0 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 6. | SHARED VOTING POWER<br>2,499,993 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7. | SOLE DISPOSITIVE POWER<br>0 |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 8. | SHARED DISPOSITIVE POWER<br>2,499,993 |

---

9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON <br>2,499,993

10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES<br>(see instructions)&nbsp;&nbsp;&nbsp;&nbsp; ◻

11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) <br>4.2%<sup>[<sup>4</sup>](#_ftnf4)</sup>

12. TYPE OF REPORTING PERSON (see instructions) <br>PN

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<sup>[<sup>4</sup>](#_ftnb4)</sup> This percentage is calculated based upon 59,922,945 shares of the Issuer's common stock outstanding as of November 10<sup>th</sup>, 2022 in accordance with 10-Q filed on November 10<sup>th</sup>, 2022.

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NYC#: 139632.2

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|:---|:---|:---|
| CUSIP No. **89532M101** | 13G/A | Page 6 of 9 Pages |

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**Item 1.**

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

(b) Address of Issuer's Principal Executive Offices<br>195 Church Street, 14th Floor New Haven, Connecticut

**Item 2.**

(a) Name of Person Filing<br> Rosalind Advisors, Inc. ("Advisor" to RMF) Rosalind Master Fund L.P. ("RMF") Steven Salamon ("President") Steven Salamon is the portfolio manager of the Advisor which advises RMF. Gilad Aharon is the portfolio manager and member of the Advisor which advises RMF.

(b) Address of the Principal Office or, if none, residence<br>Rosalind Advisors, Inc. 15 Wellesley Street West Suite 326 Toronto, Ontario M4Y 0G7 Canada Rosalind Master Fund L.P. P.O. Box 309 Ugland House, Grand Cayman KY1-1104, Cayman Islands Steven Salamon 15 Wellesley Street West Suite 326 Toronto, Ontario M4Y 0G7 Canada Gilad Aharon 15 Wellesley Street West Suite 326 Toronto, Ontario M4Y 0G7 Canada

(c) Citizenship<br>Rosalind Advisors, Inc.: Ontario, Canada Rosalind Master Fund L.P.: Cayman Islands Steven Salamon: Ontario, Canada Gilad Aharon: Ontario, Canada

(d) Title of Class of Securities<br>Common Stock

(e) CUSIP Number<br> 89532M101

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NYC#: 139632.2

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| | | |
|:---|:---|:---|
| CUSIP No. **89532M101** | 13G/A | Page 7 of 9 Pages |

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**Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:**

(a) ◻ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b) ◻ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c) ◻ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(d) ◻ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e) ◻ An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f) ◻ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g) ◻ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

(h) ◻ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i) ◻ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j) ◻ Group, in accordance with §240.13d-1(b)(1)(ii)(J).

**Item 4. Ownership.**

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a) Amount beneficially owned: Rosalind Master Fund L.P. is the record owner of 2,499,993 shares of common stock. Rosalind Advisors, Inc. is the investment advisor to RMF and may be deemed to be the beneficial owner of shares held by RMF. Steven Salamon is the portfolio manager of the Advisor and may be deemed to be the beneficial owner of shares held by RMF. Notwithstanding the foregoing, the Advisor and Mr. Salamon disclaim beneficial ownership of the shares.

(b) Percent of class: Rosalind Advisors, Inc. – 4.2% Rosalind Master Fund L.P. – 4.2% Steven Salamon – 4.2%

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NYC#: 139632.2

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| | | |
|:---|:---|:---|
| CUSIP No. **89532M101** | 13G/A | Page 8 of 9 Pages |
| (c) | Number of shares as to which the person has:  | Number of shares as to which the person has:  |
| (i) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Shared power to vote or to direct the vote <br> Rosalind Advisors, Inc. – 2,499,993 <br> Rosalind Master Fund L.P. – 2,499,993<br> Steven Salamon – 2,499,993<br> Gilad Aharon - 2,499,993  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Shared power to vote or to direct the vote <br> Rosalind Advisors, Inc. – 2,499,993 <br> Rosalind Master Fund L.P. – 2,499,993<br> Steven Salamon – 2,499,993<br> Gilad Aharon - 2,499,993  |
| (ii) | Sole power to dispose or to direct the disposition of – 0 | Sole power to dispose or to direct the disposition of – 0 |
| (iii) | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Shared power to dispose or to direct the disposition of <br> Rosalind Advisors, Inc. – 2,499,993 <br> Rosalind Master Fund L.P. – 2,499,993<br> Steven Salamon – 2,499,993<br> Gilad Aharon - 2,499,993  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Shared power to dispose or to direct the disposition of <br> Rosalind Advisors, Inc. – 2,499,993 <br> Rosalind Master Fund L.P. – 2,499,993<br> Steven Salamon – 2,499,993<br> Gilad Aharon - 2,499,993  |

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*Instruction*. For computations regarding securities which represent a right to acquire an underlying security *see* §240.13d-3(d)(1).

**Item 5. Ownership of Five Percent or Less of a Class.**

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ◻.

*Instruction*. Dissolution of a group requires a response to this item.

**Item 6. Ownership of More than Five Percent on Behalf of Another Person.**

**Item 7 – 9. Not Applicable**

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NYC#: 139632.2

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|:---|:---|:---|
| CUSIP No. **89532M101** | 13G/A | Page 9 of 9 Pages |

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**Item 10. Certification.**

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.<br>

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

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| |
|:---|
| 2/13/2023<br> Date |
| <br> Signature |
| Steven Salamon/President Rosalind Advisors, Inc.<br> Name/Title |

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**Exhibit A**

Joint Filing Agreement

The undersigned hereby agree that this Statement on Schedule 13G/A with respect to the beneficial ownership of shares of Common Stock of Trevi Therapeutics, Inc. is filed jointly, on behalf of each of them.

**Rosalind Advisors, Inc.**

By: _____________________________

Name: Steven Salamon

Title: President

**Rosalind Master Fund L.P.**

By: _____________________________

Name: Mike McDonald

Title: Director, Rosalind (Cayman) Ltd. (as General Partner to Rosalind Master Fund)

By: _____________________________

Name: Steven Salamon

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NYC#: 139632.2

## Ex-99.A

**Exhibit A**

Joint Filing Agreement

The undersigned hereby agree that this Statement on Schedule 13G with respect to the beneficial ownership of shares of Common Stock of Trevi Therapeutics, Inc. is filed jointly, on behalf of each of them.

**Rosalind Advisors, Inc.**

By: _____________________________

Name: Steven Salamon

Title: President

**Rosalind Master Fund L.P.**

By: _____________________________

Name: Mike McDonald

Title: Director, Rosalind (Cayman) Ltd. (as General Partner to Rosalind Master Fund)

By: _____________________________

Name: Steven Salamon