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)

_____ 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)

12/17/2020
(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
Common Stock 12/17/2020  S(1)  103116 D$1.36 144816 D  
Common Stock 12/17/2020  M  247932 A (2)247932 D  

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  (2)12/17/2020  M     247932   (3) (3)Common Stock 247932 $0.00 0 D  

Explanation of Responses:
(1) The sale reported on this Form 4 was effected by the Reporting Person and represents shares sold to cover tax withholding obligations in connection with the vesting of restricted stock units
(2) Each restricted stock unit represents a contingent right to receive one share of common stock.
(3) On December 2, 2019, the Reporting Person was granted 123,966 restricted stock units, vesting in two equal installments on June 2, 2020 and December 2, 2020 (the "December 2019 Grant"). On May 28, 2020, the reporting person was granted an additional 123,966 restricted stock units (the "May 2020 Grant") and the December 2019 Grant was amended to vest in full, together with the May 2020 Grant, on December 2, 2020. 247,932 shares of common stock were distributed to the Reporting Person on December 17, 2020 following the vesting of the restricted stock units from the December 2019 Grant and the May 2020 Grant

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


President and CEO

Signatures
/s/ Kevin Brennan, attorney-in-fact12/18/2020
**Signature of Reporting PersonDate

Allena Pharmaceuticals (NASDAQ:ALNA)
Historical Stock Chart
From Mar 2024 to Apr 2024 Click Here for more Allena Pharmaceuticals Charts.
Allena Pharmaceuticals (NASDAQ:ALNA)
Historical Stock Chart
From Apr 2023 to Apr 2024 Click Here for more Allena Pharmaceuticals Charts.