SEC Form 3 · accession 0000899243-17-025203
Allena Pharmaceuticals, Inc. · ALNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexey L Margolin
Officer — Chief Executive Officer · Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 1, 2017 · 9:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001624658
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 808,752 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $0.75 | holding | — | — | — | — | Mar 5, 2024 | Common Stock | 20,834 | — | D |
| Stock Option (Right to Buy)F2 | $0.75 | holding | — | — | — | — | May 15, 2024 | Common Stock | 9,998 | — | D |
| Stock Option (Right to Buy)F3 | $1.17 | holding | — | — | — | — | Dec 16, 2024 | Common Stock | 215,620 | — | D |
| Stock Option (Right to Buy)F4 | $1.59 | holding | — | — | — | — | Mar 10, 2026 | Common Stock | 131,768 | — | D |
Explanation of responses
- F125% of the shares vested on March 5, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.
- F225% of the shares vested on May 15, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.
- F325% of the shares vested on December 16, 2015 and the remaining shares vest in 36 equal monthly installments thereafter.
- F425% of the shares vested on December 8, 2016 and the remaining shares vest in 36 equal monthly installments thereafter.
Remarks
Exhibit 24 - Power of Attorney