SEC Form 4 · accession 0000899243-17-025455
Allena Pharmaceuticals, Inc. · ALNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James N Topper
Director · 10% Owner
Period of report
Nov 6, 2017
Accepted (ET)
Nov 6, 2017 · 7:06 pm EST
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 StockF1,F2,F3 | Nov 6, 2017 | C | 1,466,805 | — | A | 1,466,805 | I | See Footnote |
| Common StockF1,F2,F3 | Nov 6, 2017 | C | 1,109,159 | — | A | 2,575,964 | I | See Footnote |
| Common StockF1,F2,F3 | Nov 6, 2017 | C | 254,409 | — | A | 2,830,373 | I | See Footnote |
| Common StockF3 | Nov 6, 2017 | P | 500,000 | $14.00 | A | 3,330,373 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF3,F2 | — | Nov 6, 2017 | C | 6,122,448 | D | — | — | Common Stock | 1,466,805 | 0 | I |
| Series B Preferred StockF3,F2 | — | Nov 6, 2017 | C | 4,629,630 | D | — | — | Common Stock | 1,109,159 | 0 | I |
| Series C Preferred StockF3,F2 | — | Nov 6, 2017 | C | 1,061,904 | D | — | — | Common Stock | 254,409 | 0 | I |
Explanation of responses
- F1Represents 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.
- F2All 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.
- F3These 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.