Current Report Filing (8-k)
January 28 2021 - 5:16PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of The Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): January 28, 2021 (January 23, 2021)
Allena Pharmaceuticals, Inc.
(Exact name of registrant as specified in its charter)
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DELAWARE
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001-38268
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45-2729920
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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One Newton Executive Park, Suite 202
Newton, Massachusetts
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02462
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code
(617) 467-4577
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR
240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR
240.13e-4(c))
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Securities registered or to be registered pursuant to Section 12(b) of the Act.
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Title of each class
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Trading
symbol(s)
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Name of each exchange
on which registered
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Common Stock, par value $0.001 per share
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ALNA
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The Nasdaq Global Select Market
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of
1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☒
If an
emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ☒
Item 5.02.
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers
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On January 23, 2021, Allena Pharmaceuticals, Inc. (the Company)
adopted the Allena Pharmaceuticals, Inc. 2021 Inducement Equity Plan (the Inducement Plan), pursuant to which the Company reserved 1,600,000 shares of its common stock for issuance under the Inducement Plan to be used exclusively for
grants of awards to individuals who were not previously employees of the Company, as an inducement material to the individuals entry into employment with the Company within the meaning of Nasdaq Listing Rule 5635(c)(4). The Inducement Plan was
approved by the Board of Directors of the Company without stockholder approval pursuant to Nasdaq Listing Rule 5635(c)(4).
The foregoing description of
the terms of the Inducement Plan is not intended to be complete and is qualified in its entirety by reference to the Inducement Plan, a copy of which is included hereto as Exhibit 10.1 and incorporated herein by reference.
Exhibit 9.01 Financial Statements and Exhibits.
(d)
Exhibits.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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Date: January 28, 2021
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Allena Pharmaceuticals, Inc.
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By:
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/s/ Edward Wholihan
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Edward Wholihan
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Chief Financial Officer
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