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ALNA Allena Pharmaceuticals Inc

0.075
0.00 (0.00%)
After Hours
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Allena Pharmaceuticals Inc NASDAQ:ALNA NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 0.075 0.0825 0.0832 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

02/02/2022 9:16pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

BRENNER LOUIS MD
2. Issuer Name and Ticker or Trading Symbol

Allena Pharmaceuticals, Inc. [ ALNA ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
President and CEO
(Last)          (First)          (Middle)

C/O ALLENA PHARMACEUTICALS, INC., ONE NEWTON EXECUTIVE PARK, SUITE 202
3. Date of Earliest Transaction (MM/DD/YYYY)

2/1/2022
(Street)

NEWTON, MA 02462
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units  (1)2/1/2022  A   655000     (2) (2)Common Stock 655000 $0.00 655000 D  

Explanation of Responses:
(1) Each restricted stock unit represents a contingent right to receive one share of common stock. The restricted stock units were granted pursuant to a retention plan approved by the board of directors of the Issuer.
(2) The restricted stock units will vest ratably in equal installments on July 15th and January 15th of each year over the three-year period immediately following February 1, 2022, and will accelerate in full upon the consummation of a change in control, in each case, subject to the Reporting Person's continued service through each applicable vesting date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
BRENNER LOUIS MD
C/O ALLENA PHARMACEUTICALS, INC.
ONE NEWTON EXECUTIVE PARK, SUITE 202
NEWTON, MA 02462
X
President and CEO

Signatures
/s/ Kevin Brennan, attorney-in-fact2/2/2022
**Signature of Reporting PersonDate

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