SEC Form 4 · accession 0001179110-17-013895
Allena Pharmaceuticals, Inc. · ALNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
HBM BioCapital II LP
10% Owner
Period of report
Nov 6, 2017
Accepted (ET)
Nov 8, 2017 · 5:51 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,F3 | Nov 6, 2017 | C | 1,426,061 | — | A | 1,426,061 | D | |
| Common StockF2,F3 | Nov 6, 2017 | C | 140,841 | — | A | 1,566,902 | D | |
| Common Stock | Nov 6, 2017 | P | 71,428 | $14.00 | A | 1,638,330 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF3 | — | Nov 6, 2017 | C | 5,952,380 | D | — | — | Common Stock | 1,426,061 | 0 | D |
| Series C Preferred StockF3 | — | Nov 6, 2017 | C | 587,872 | D | — | — | Common Stock | 140,841 | 0 | D |
Explanation of responses
- F1Issued upon conversion of Series Series B Preferred Stock upon closing of Issuer's initial public offering.
- F2Issued upon conversion of Series Series C Preferred Stock upon closing of Issuer's initial public offering.
- F3Each share of the Issuer's Series B and Series C Preferred Stock automatically converted into one share of the Issuer's Common Stock on a 4.174-to-1 basis upon the closing of the Issuer's initial public offering and has no expiration date.
Remarks
Authorized signatures on behalf of HBM BioCapital Management Limited as General Partner of HBM BioCapital II LP.