Filing Details

Accession Number:
0000899243-17-025455
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-11-06 19:06:46
Reporting Period:
2017-11-06
Accepted Time:
2017-11-06 19:06:46
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
1341382 N James Topper C/o Allena Pharmaceuticals, Inc.
One Newton Executive Park, Suite 202
Newton MA 02459
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 1,466,805 $0.00 1,466,805 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-06 1,109,159 $0.00 2,575,964 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-06 254,409 $0.00 2,830,373 No 4 C Indirect See Footnote
Common Stock Acquisiton 2017-11-06 500,000 $14.00 3,330,373 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 P Indirect See Footnote
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
Common Stock Series C Preferred Stock Disposition 2017-11-06 1,061,904 $0.00 254,409 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. Represents the total number of shares of Common Stock received by Frazier Healthcare VI, L.P. ("Frazier"), upon conversion of the Series A Preferred Stock, the Series B Preferred Stock and the Series C Preferred Stock in connection with the closing of the Issuer's initial public offering.
  2. All series of Convertible Preferred Stock automatically converted into the Issuer's Common Stock on a 4.174-for-1 basis upon closing of the initial public offering of the Issuer and have no expiration date.
  3. These shares are held directly by Frazier Healthcare VI, L.P. The general partner of Frazier Healthcare VI, L.P is FHM VI, L.P., a Delaware limited partnership. The general partner of FHM VI, L.P. is FHM VI, L.L.C., a Delaware limited liability company. The Reporting Person is one of five members of FHM VI, L.L.C. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest in such shares, if any, and this report shall not be deemed an admission that he is the beneficial owner of such shares.