0000899243-17-025199.txt : 20171101 0000899243-17-025199.hdr.sgml : 20171101 20171101213510 ACCESSION NUMBER: 0000899243-17-025199 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171101 FILED AS OF DATE: 20171101 DATE AS OF CHANGE: 20171101 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Topper James N CENTRAL INDEX KEY: 0001341382 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38268 FILM NUMBER: 171170538 MAIL ADDRESS: STREET 1: 550 HAMILTON AVENUE, SUITE 100 CITY: PALO ALTO STATE: CA ZIP: 94301 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2017-11-01 0 0001624658 Allena Pharmaceuticals, Inc. ALNA 0001341382 Topper James N C/O ALLENA PHARMACEUTICALS, INC. ONE NEWTON EXECUTIVE PARK, SUITE 202 NEWTON MA 02459 1 0 1 0 Stock Option (Right to Buy) 5.72 2027-09-26 Common Stock 20364 D Series A Preferred Stock Common Stock 1466805 I By: Frazier Healthcare VI, L.P. Series B Preferred Stock Common Stock 1109159 I By: Frazier Healthcare VI, L.P. Series C Preferred Stock Common Stock 254409 I By: Frazier Healthcare VI, L.P. These shares vest annual over a 3 (three) year period beginning on September 26, 2018. All series of Convertible Preferred Stock will automatically convert into Allena Pharmaceuticals, Inc. (the "Issuer") common stock on a 4.174-for-1 basis at any time at the holders's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date. These shares are held directly by Frazier Healthcare VI, L.P. The general partner of Frazier Healthcare VI, L.P is FHM VI, LLC, a Delaware limited partnership. The general partner of FHM VI, L.P. is FHM VI, LLC, a Delaware limited liability company. The Reporting Person, Alan Frazier, Nader Naini, Nathan Every and Patrick Heron are all of the members of FHM VI, LLC. The Reporting Person and the members disclaim beneficial ownership of such shares except to the extent of their pecuniary interest in such shares, if any, and this report shall not be deemed ad admission that it is or he is the beneficial owner of such shares. Exhibit 24 - Power of Attorney /s/ Kevin Brennan, attorney-in-fact 2017-11-01 EX-24 2 attachment1.htm EX-24 DOCUMENT

                               Power of Attorney

     Know all by these presents that the undersigned hereby constitutes and
appoints Michael Bison, Daniel Lang, Kevin Brennan and Edward Wholihan, and with
full power of substitution, as the undersigned's true and lawful attorney-in-
fact to:

     (1)  execute for and on behalf of the undersigned, in the undersigned's
     capacity as a director of Aliena Pharmaceuticals, Inc., a Delaware
     corporation (the Company), Forms 3, 4, and 5 in accordance with Section
     16(a) of the Securities Exchange Act of 1934, as amended, and the rules
     thereunder;

     (2)  do and perform any and all acts for and on behalf of the undersigned
     which may be necessary or desirable to complete and execute any such Form
     3, 4, or 5, complete and execute any amendment or amendments thereto, and
     timely file such form with the SEC and any stock exchange or similar
     authority; and

     (3)  take any other action of any type whatsoever in connection with the
     foregoing which, in the opinion of such attorney-in-fact, may be of benefit
     to, in the best interest of, or legally required by, the undersigned, it
     being understood that the documents executed by such attorney-in-fact on
     behalf of the undersigned pursuant to this Power of Attorney shall be in
     such form and shall contain such terms and conditions as such attorney-
     infact may approve in such attorney-in-fact's discretion.

     The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this power of attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in
serving in such capacity at the request of the undersigned, is not assuming, nor
is the Company assuming, any of the undersigned's responsibilities to comply
with Section 16 of the Securities Exchange Act of 1934, as amended.

     This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4, and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact.

     IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 24 day of October, 2017.

/s/ James Topper
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Printed Name: James Topper, M.D., Ph.D.