0000899243-17-025425.txt : 20171106
0000899243-17-025425.hdr.sgml : 20171106
20171106160047
ACCESSION NUMBER: 0000899243-17-025425
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171106
FILED AS OF DATE: 20171106
DATE AS OF CHANGE: 20171106
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STARR KEVIN P
CENTRAL INDEX KEY: 0001192603
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38268
FILM NUMBER: 171179488
MAIL ADDRESS:
STREET 1: 75 SIDNEY STREET
CITY: CAMBRIDGE
STATE: MA
ZIP: 02139
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LEVIN MARK J
CENTRAL INDEX KEY: 0001180428
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38268
FILM NUMBER: 171179489
MAIL ADDRESS:
STREET 1: 40 LANDSDOWNE STREET
CITY: CAMBRIDGE
STATE: MA
ZIP: 02139
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Third Rock Ventures GP II, L.P.
CENTRAL INDEX KEY: 0001614061
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38268
FILM NUMBER: 171179491
BUSINESS ADDRESS:
STREET 1: THIRD ROCK VENTURES
STREET 2: 29 NEWBURY STREET, 3RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-585-2000
MAIL ADDRESS:
STREET 1: THIRD ROCK VENTURES
STREET 2: 29 NEWBURY STREET, 3RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
FORMER NAME:
FORMER CONFORMED NAME: Third Rock Ventures II GP, LP
DATE OF NAME CHANGE: 20140716
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Third Rock Ventures II, L.P.
CENTRAL INDEX KEY: 0001488495
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38268
FILM NUMBER: 171179492
BUSINESS ADDRESS:
STREET 1: 29 NEWBURY STREET
STREET 2: 3RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-585-2000
MAIL ADDRESS:
STREET 1: 29 NEWBURY STREET
STREET 2: 3RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TRV GP II, LLC
CENTRAL INDEX KEY: 0001614073
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38268
FILM NUMBER: 171179490
BUSINESS ADDRESS:
STREET 1: THIRD ROCK VENTURES
STREET 2: 29 NEWBURY STREET, 3RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-585-2000
MAIL ADDRESS:
STREET 1: THIRD ROCK VENTURES
STREET 2: 29 NEWBURY STREET, 3RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Allena Pharmaceuticals, Inc.
CENTRAL INDEX KEY: 0001624658
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 452729920
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE NEWTON EXECUTIVE PARK
STREET 2: SUITE 202
CITY: NEWTON
STATE: MA
ZIP: 02462
BUSINESS PHONE: 617-467-4577
MAIL ADDRESS:
STREET 1: ONE NEWTON EXECUTIVE PARK
STREET 2: SUITE 202
CITY: NEWTON
STATE: MA
ZIP: 02462
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-11-06
0
0001624658
Allena Pharmaceuticals, Inc.
ALNA
0001488495
Third Rock Ventures II, L.P.
C/O THIRD ROCK VENTURES, LLC
29 NEWBURY STREET, 3RD FLOOR
BOSTON
MA
02116
0
0
1
0
0001614061
Third Rock Ventures GP II, L.P.
C/O THIRD ROCK VENTURES, LLC
29 NEWBURY STREET, 3RD FLOOR
BOSTON
MA
02116
0
0
1
0
0001614073
TRV GP II, LLC
C/O THIRD ROCK VENTURES, LLC
29 NEWBURY STREET, 3RD FLOOR
BOSTON
MA
02116
0
0
1
0
0001180428
LEVIN MARK J
29 NEWBURY STREET, 3RD FLOOR
BOSTON
MA
02116
0
0
1
0
0001192603
STARR KEVIN P
29 NEWBURY STREET, 3RD FLOOR
BOSTON
MA
02116
0
0
1
0
Common Stock
2017-11-06
4
C
0
2575964
A
2575964
D
Common Stock
2017-11-06
4
P
0
215000
14.00
A
2790964
D
Series A Preferred Stock
2017-11-06
4
C
0
6122448
0.00
D
Common Stock
1466805
0
D
Series B Preferred Stock
2017-11-06
4
C
0
4629630
0.00
D
Common Stock
1109159
0
D
Represents the total number of shares of Common Stock received by Third Rock Ventures II, L.P. ("TRV II") upon conversion of the Series A Preferred Stock and Series B Preferred Stock of the Issuer in connection with the closing of the Issuer's initial public offering.
The Series A Preferred Stock and Series B Preferred Stock converted into Common Stock on a 4.174-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock and Series B Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.
These shares are directly held by TRV II. The general partner of TRV II is Third Rock Ventures GP II, L.P. ("TRV GP II"). The general partner of TRV GP II is TRV GP II, LLC ("TRV GP II LLC"). The individual managers of TRV GP II LLC are Mark Levin ("Levin"), Kevin Starr ("Starr") and Dr. Robert Tepper ("Tepper"). Each of TRV GP II, TRV GP II LLC, Levin, Starr and Tepper disclaims beneficial ownership of these shares except to the extent of its or his pecuniary interest therein, if any, and this report shall not be deemed an admission that it or he is the beneficial owner of such shares.
Represents shares of Common Stock purchased by TRV II in the Issuer's initial public offering.
/s/ Kevin Gillis, Chief Financial Officer of TRV GP II, LLC, general partner of Third Rock Ventures GP II, L.P., general partner of Third Rock Ventures II, L.P.
2017-11-06
/s/ Kevin Gillis, Chief Financial Officer of TRV GP II, LLC, general partner of Third Rock Ventures GP II, L.P.
2017-11-06
/s/ Kevin Gillis, Chief Financial Officer of TRV GP II, LLC
2017-11-06
/s/ Kevin Gillis by power of attorney for Mark Levin
2017-11-06
/s/ Kevin Gillis by power of attorney for Kevin Starr
2017-11-06