SEC Form 4 · accession 0001104659-17-066624
Allena Pharmaceuticals, Inc. · ALNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Nov 6, 2017
Accepted (ET)
Nov 7, 2017 · 4:02 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 | Nov 6, 2017 | C | 757,684 | — | A | 757,684 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Convertible Preferred StockF1 | — | Nov 6, 2017 | C | 3,162,573 | D | — | — | Common Stock | 757,684 | 0 | D |
Explanation of responses
- F1The Series C Convertible Preferred Stock converted into Common Stock on a 4.174-for-one basis upon the closing of the Issuer's initial public offering. The shares had no expiration date.