Statement of Changes in Beneficial Ownership (4)
December 18 2020 - 4:16PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
WHOLIHAN EDWARD |
2. Issuer Name and Ticker or Trading Symbol
Allena Pharmaceuticals, Inc.
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ALNA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(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)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/17/2020 | | S(1) | | 68550 | D | $1.36 | 121272 | D | |
Common Stock | 12/17/2020 | | M | | 164822 | A | (2) | 189822 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. 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 Date | 7. 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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (2) | 12/17/2020 | | M | | | 164822 | (3) | (3) | Common Stock | 164822 | $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 82,411 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 82,411 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. 164,822 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
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
WHOLIHAN EDWARD C/O ALLENA PHARMACEUTICALS, INC. ONE NEWTON EXECUTIVE PARK, SUITE 202 NEWTON, MA 02462 |
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| Chief Financial Officer |
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Signatures
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/s/ Kevin Brennan, attorney-in-fact | | 12/18/2020 |
**Signature of Reporting Person | Date |
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