Filing Details

Accession Number:
0000899243-17-025454
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-06 19:04:21
Reporting Period:
2017-11-06
Accepted Time:
2017-11-06 19:04:21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1624658 Allena Pharmaceuticals Inc. ALNA () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1192595 I Robert Tepper C/o Third Rock Ventures, Llc
29 Newbury Street, 3Rd Floor
Boston MA 02116
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2017-11-06 2,575,964 $0.00 2,575,964 No 4 C Direct
Common Stock Acquisiton 2017-11-06 215,000 $14.00 2,790,964 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Preferred Stock Disposition 2017-11-06 6,122,448 $0.00 1,466,805 $0.00
Common Stock Series B Preferred Stock Disposition 2017-11-06 4,629,630 $0.00 1,109,159 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Direct
0 No 4 C Direct
Footnotes
  1. Represents the total number of shares of Common Stock received by Third Rock Ventures II, L.P. ("TRV II") upon conversion of the Series A Preferred Stock and Series B Preferred Stock of the Issuer in connection with the closing of the Issuer's initial public offering.
  2. The Series A Preferred Stock and Series B Preferred Stock converted into Common Stock on a 4.174-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series B Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
  3. These shares are directly held by TRV II. The general partner of TRV II is Third Rock Ventures GP II, L.P. ("TRV GP II"). The general partner of TRV GP II is TRV GP II, LLC ("TRV GP II LLC"). The individual managers of TRV GP II LLC are Mark Levin ("Levin"), Kevin Starr ("Starr") and Dr. Robert Tepper ("Tepper"). Each of TRV GP II, TRV GP II LLC, Levin, Starr and Tepper disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares.
  4. Represents shares of Common Stock purchased by TRV II in the Issuer's initial public offering.