SEC Form 4 · accession 0001209191-17-059504

Allena Pharmaceuticals, Inc. · ALNA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

10% Owner

10% Owner

10% Owner

Period of report

Nov 6, 2017

Accepted (ET)

Nov 6, 2017 · 6:46 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 Stock^F1,F2,F3,F4	Nov 6, 2017	C	2,830,373	—	A	2,830,373	I	By Frazier Healthcare VI, L.P.
Common Stock^F4	Nov 6, 2017	P	500,000	$14.00	A	3,330,373	I	By Frazier Healthcare VI, L.P.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Preferred Stock^F4,F1,F5	—	Nov 6, 2017	C	6,122,448	D	—	—	Common Stock	1,466,805	I
Series B Preferred Stock^F4,F2,F5	—	Nov 6, 2017	C	4,629,630	D	—	—	Common Stock	1,109,159	I
Series C Preferred Stock^F4,F3,F5	—	Nov 6, 2017	C	1,061,904	D	—	—	Common Stock	254,409	I

F1The Series A Preferred Stock automatically converted into Common Stock of the Issuer on a 4.174-to-1 basis upon closing of the initial public offering of the Issuer.
F2The Series B Preferred Stock automatically converted into Common Stock of the Issuer on a 4.174-to-1 basis upon closing of the initial public offering of the Issuer.
F3The Series C Preferred Stock automatically converted into Common Stock of the Issuer on a 4.174-to-1 basis upon closing of the initial public offering of the Issuer.
F4The securities are held by Frazier Healthcare VI, L.P. ("Frazier VI"). FHM VI, L.P. ("FHM LP") is the general partner of Frazier VI and FHM VI, L.L.C. ("FHM LLC") is the general partner of FHM LP. Each of FHM LLC and FHM LP disclaims beneficial ownership of all shares held by Frazier VI except to the extent, if any, of such entity's, as applicable, pecuniary interest therein.
F5Not applicable.