U.S. Securities & Exchange Commission
SEC Seal
Home | Search Home | Latest Filings | Previous Page
U.S. Securities and Exchange Commission


Allena Pharmaceuticals, Inc. (0001624658)
SIC: 2836 - Biological Products, (No Diagnostic Substances)
State location: MA | State of Inc.: DE | Fiscal Year End: 1231
Business Address
142 -F NORTH ROAD, SUITE 150
SUDBURY MA 01776
617-467-4577
 Mailing Address
142 -F NORTH ROAD, SUITE 150
SUDBURY MA 01776
Ownership Reports from: (Click on owner name to see other issuer holdings for the owner, or CIK for owner filings.)

Owner Filings Transaction Date Type of Owner
Fitzpatrick Mark J. 0001520265 2021-04-06 director
Katz Richard D 0001293577 2021-01-29 officer: Chief Financial Officer
Miller Ann Calby 0001771423 2020-10-05 director
Diaz Allene M. 0001773314 2019-04-15 director
Hack Andrew A. F. 0001657434 2018-06-08 director
LEVIN MARK J 0001180428 2017-11-01 10 percent owner
TEPPER ROBERT I 0001192595 2017-11-01 director, 10 percent owner
STARR KEVIN P 0001192603 2017-11-01 10 percent owner
SANTINI GINO 0001276038 2017-11-01 director
Topper James N 0001341382 2017-11-01 director, 10 percent owner
Margolin Alexey L 0001350080 2017-11-01 director, officer: Chief Executive Officer
Kraus Stephen 0001362099 2017-11-01 director
BRENNER LOUIS MD 0001389500 2017-11-01 officer: See Remarks
Bessemer Venture Partners VII Institutional L.P. 0001407577 2017-11-01 10 percent owner
FHM VI, L.L.C. 0001456654 2017-11-01 10 percent owner
FHM VI, L.P. 0001456655 2017-11-01 10 percent owner
Frazier Healthcare VI, L.P. 0001456656 2017-11-01 10 percent owner
BVP VII SPECIAL OPPORTUNITY FUND LP 0001459524 2017-11-01 10 percent owner
Third Rock Ventures II, L.P. 0001488495 2017-11-01 10 percent owner
Bessemer Venture Partners VII L.P. 0001534338 2017-11-01 10 percent owner
Deer VII & Co. Ltd. 0001540726 2017-11-01 10 percent owner
Deer VII & Co. L.P. 0001540731 2017-11-01 10 percent owner
Bolte Axel 0001579247 2017-11-01 director
Alexander Robert 0001608782 2017-11-01 director
Third Rock Ventures GP II, L.P. 0001614061 2017-11-01 10 percent owner
TRV GP II, LLC 0001614073 2017-11-01 10 percent owner
Hadley Harbor Master Investors (Cayman) L.P. 0001641080 2017-11-01 10 percent owner
WHOLIHAN EDWARD 0001719764 2017-11-01 officer: Chief Financial Officer
HBM BioCapital II LP 0001721496 2017-11-01 10 percent owner


Items 1 - 80

The information presented below contains only portions of the information presented in the referenced filing or filings.
You should consult the original filing for complete information. Hyperlinks to the forms are provided for your convenience.

Acquistion or Disposition Transaction Date Deemed Execution Date Reporting Owner Form Transaction Type Direct or Indirect Ownership Number of Securities Transacted Number of Securities Owned Line Number Owner CIK Security Name
A 2022-02-01   Katz Richard D 4 A-Award --D 255000.0000 255000.0000 1 0001293577 Restricted Stock Units
A 2022-02-01   BRENNER LOUIS MD 4 A-Award --D 655000.0000 655000.0000 1 0001389500 Restricted Stock Units
D 2021-11-15   BRENNER LOUIS MD 4 M-Exempt --D 125582.0000 0.0000 3 0001389500 Restricted Stock Units
A 2021-11-15   BRENNER LOUIS MD 4 M-Exempt --D 125582.0000 328904.0000 2 0001389500 Common Stock
D 2021-11-15   BRENNER LOUIS MD 4 S-Sale --D 40328.0000 288576.0000 1 0001389500 Common Stock
A 2021-06-03   Margolin Alexey L 4 A-Award --D 37000.0000 37000.0000 1 0001350080 Stock Option (Right to Buy)
A 2021-06-03   Alexander Robert 4 A-Award --D 37000.0000 37000.0000 1 0001608782 Stock Option (Right to Buy)
A 2021-06-03   SANTINI GINO 4 A-Award --D 37000.0000 37000.0000 1 0001276038 Stock Option (Right to Buy)
A 2021-06-03   Diaz Allene M. 4 A-Award --D 37000.0000 37000.0000 1 0001773314 Stock Option (Right to Buy)
A 2021-06-03   Miller Ann Calby 4 A-Award --D 37000.0000 37000.0000 1 0001771423 Stock Option (Right to Buy)
D 2021-05-10   BRENNER LOUIS MD 4 M-Exempt --D 83721.0000 125582.0000 3 0001389500 Restricted Stock Units
A 2021-05-10   BRENNER LOUIS MD 4 M-Exempt --D 83721.0000 228537.0000 2 0001389500 Common Stock
D 2021-05-10   BRENNER LOUIS MD 4 S-Sale --D 25215.0000 203322.0000 1 0001389500 Common Stock
A 2021-04-06   Fitzpatrick Mark J. 4 A-Award --D 74000.0000 74000.0000 1 0001520265 Stock Option (Right to Buy)
A 2021-02-16   BRENNER LOUIS MD 4 A-Award --D 886400.0000 886400.0000 1 0001389500 Stock Option (Right to Buy)
A 2021-02-01   Katz Richard D 4 A-Award --D 400000.0000 400000.0000 1 0001293577 Stock Option (Right to Buy)
D 2020-12-17   WHOLIHAN EDWARD 4 M-Exempt --D 164822.0000 0.0000 3 0001719764 Restricted Stock Units
A 2020-12-17   WHOLIHAN EDWARD 4 M-Exempt --D 164822.0000 189822.0000 2 0001719764 Common Stock
D 2020-12-17   WHOLIHAN EDWARD 4 S-Sale --D 68550.0000 121272.0000 1 0001719764 Common Stock
D 2020-12-17   BRENNER LOUIS MD 4 M-Exempt --D 247932.0000 0.0000 3 0001389500 Restricted Stock Units
A 2020-12-17   BRENNER LOUIS MD 4 M-Exempt --D 247932.0000 247932.0000 2 0001389500 Common Stock
D 2020-12-17   BRENNER LOUIS MD 4 S-Sale --D 103116.0000 144816.0000 1 0001389500 Common Stock
A 2020-12-09   BRENNER LOUIS MD 4 A-Award --D 209303.0000 209303.0000 1 0001389500 Restricted Stock Units
A 2020-11-17   Topper James N 4 A-Award --D 14000.0000 14000.0000 1 0001341382 Stock Option (Right to Buy)
A 2020-11-17   SANTINI GINO 4 A-Award --D 14000.0000 14000.0000 1 0001276038 Stock Option (Right to Buy)
A 2020-11-17   Margolin Alexey L 4 A-Award --D 14000.0000 14000.0000 1 0001350080 Stock Option (Right to Buy)
A 2020-11-17   Hack Andrew A. F. 4 A-Award --D 14000.0000 14000.0000 1 0001657434 Stock Option (Right to Buy)
A 2020-11-17   Diaz Allene M. 4 A-Award --D 14000.0000 14000.0000 1 0001773314 Stock Option (Right to Buy)
A 2020-11-17   Alexander Robert 4 A-Award --D 14000.0000 14000.0000 1 0001608782 Stock Option (Right to Buy)
A 2020-10-05   Miller Ann Calby 4 A-Award --D 28000.0000 28000.0000 1 0001771423 Stock Option (Right to Buy)
A 2020-05-28   BRENNER LOUIS MD 4 A-Award --D 123966.0000 123966.0000 2 0001389500 Restricted Stock Units
A 2020-05-28   BRENNER LOUIS MD 4 A-Award --D 123966.0000 123966.0000 1 0001389500 Restricted Stock Units
A 2020-05-28   WHOLIHAN EDWARD 4 A-Award --D 82411.0000 82411.0000 2 0001719764 Restricted Stock Units
A 2020-05-28   WHOLIHAN EDWARD 4 A-Award --D 82411.0000 82411.0000 1 0001719764 Restricted Stock Units
A 2019-12-02   WHOLIHAN EDWARD 4 A-Award --D 153000.0000 153000.0000 2 0001719764 Stock Option (Right to Buy)
A 2019-12-02   WHOLIHAN EDWARD 4 A-Award --D 82411.0000 82411.0000 1 0001719764 Restricted Stock Units
A 2019-12-02   BRENNER LOUIS MD 4 A-Award --D 375000.0000 375000.0000 2 0001389500 Stock Option (Right to Buy)
A 2019-12-02   BRENNER LOUIS MD 4 A-Award --D 123966.0000 123966.0000 1 0001389500 Restricted Stock Units
A 2019-06-05   Topper James N 4 A-Award --D 14000.0000 14000.0000 1 0001341382 Stock Option (Right to Buy)
A 2019-06-05   TEPPER ROBERT I 4 A-Award --D 14000.0000 14000.0000 1 0001192595 Stock Option (Right to Buy)
A 2019-06-05   SANTINI GINO 4 A-Award --D 14000.0000 14000.0000 1 0001276038 Stock Option (Right to Buy)
A 2019-06-05   Margolin Alexey L 4 A-Award --D 14000.0000 14000.0000 1 0001350080 Stock Option (Right to Buy)
A 2019-06-05   Hack Andrew A. F. 4 A-Award --D 14000.0000 14000.0000 1 0001657434 Stock Option (Right to Buy)
A 2019-06-05   Alexander Robert 4 A-Award --D 14000.0000 14000.0000 1 0001608782 Stock Option (Right to Buy)
A 2019-05-06   Diaz Allene M. 4 A-Award --D 28000.0000 28000.0000 1 0001773314 Stock Option (Right to Buy)
A 2019-03-04   WHOLIHAN EDWARD 4 A-Award --D 125000.0000 125000.0000 1 0001719764 Stock Option (Right to Buy)
A 2019-01-04   BRENNER LOUIS MD 4 A-Award --D 305000.0000 305000.0000 1 0001389500 Stock Option (Right to Buy)
A 2018-06-08   Topper James N 4 A-Award --D 10182.0000 10182.0000 1 0001341382 Stock Option (Right to Buy)
A 2018-06-08   TEPPER ROBERT I 4 A-Award --D 10182.0000 10182.0000 1 0001192595 Stock Option (Right to Buy)
A 2018-06-08   SANTINI GINO 4 A-Award --D 10182.0000 10182.0000 1 0001276038 Stock Option (Right to Buy)
A 2018-06-08   Bolte Axel 4 A-Award --D 10182.0000 10182.0000 1 0001579247 Stock Option (Right to Buy)
A 2018-06-08   Alexander Robert 4 A-Award --D 10182.0000 10182.0000 1 0001608782 Stock Option (Right to Buy)
A 2018-06-08   Hack Andrew A. F. 4 A-Award --D 20364.0000 20364.0000 1 0001657434 Stock Option (Right to Buy)
D 2018-05-09   WHOLIHAN EDWARD 4 M-Exempt --D 25000.0000 167031.0000 2 0001719764 Stock Option (Right to Buy)
A 2018-05-09   WHOLIHAN EDWARD 4 M-Exempt --D 25000.0000 25000.0000 1 0001719764 Common Stock
A 2018-02-09   WHOLIHAN EDWARD 4 A-Award --D 75000.0000 75000.0000 1 0001719764 Stock Option (Right to Buy)
A 2018-02-09   BRENNER LOUIS MD 4 A-Award --D 100000.0000 100000.0000 1 0001389500 Stock Option (Right to Buy)
A 2018-02-09   Margolin Alexey L 4 A-Award --D 190000.0000 190000.0000 1 0001350080 Stock Option (Right to Buy)
D 2017-11-06   FHM VI, L.L.C. 4 C-Conversion --I 1061904.0000 0.0000 5 0001456654 Series C Preferred Stock
D 2017-11-06   FHM VI, L.L.C. 4 C-Conversion --I 4629630.0000 0.0000 4 0001456654 Series B Preferred Stock
D 2017-11-06   FHM VI, L.L.C. 4 C-Conversion --I 6122448.0000 0.0000 3 0001456654 Series A Preferred Stock
A 2017-11-06   FHM VI, L.L.C. 4 P-Purchase --I 500000.0000 3330373.0000 2 0001456654 Common Stock
A 2017-11-06   FHM VI, L.L.C. 4 C-Conversion --I 2830373.0000 2830373.0000 1 0001456654 Common Stock
D 2017-11-06   HBM BioCapital II LP 4 C-Conversion --D 587872.0000 0.0000 5 0001721496 Series C Preferred Stock
D 2017-11-06   HBM BioCapital II LP 4 C-Conversion --D 5952380.0000 0.0000 4 0001721496 Series B Preferred Stock
A 2017-11-06   HBM BioCapital II LP 4 P-Purchase --D 71428.0000 1638330.0000 3 0001721496 Common Stock
A 2017-11-06   HBM BioCapital II LP 4 C-Conversion --D 140841.0000 1566902.0000 2 0001721496 Common Stock
A 2017-11-06   HBM BioCapital II LP 4 C-Conversion --D 1426061.0000 1426061.0000 1 0001721496 Common Stock
D 2017-11-06   Hadley Harbor Master Investors (Cayman) L.P. 4 C-Conversion --D 3162573.0000 0.0000 2 0001641080 Series C Convertible Preferred Stock
A 2017-11-06   Hadley Harbor Master Investors (Cayman) L.P. 4 C-Conversion --D 757684.0000 757684.0000 1 0001641080 Common Stock
D 2017-11-06   Bessemer Venture Partners VII L.P. 4 C-Conversion --I 3174603.0000 0.0000 4 0001534338 Series B Preferred Stock
D 2017-11-06   Bessemer Venture Partners VII L.P. 4 C-Conversion --I 6122448.0000 0.0000 3 0001534338 Series A Preferred Stock
A 2017-11-06   Bessemer Venture Partners VII L.P. 4 P-Purchase --I 36000.0000 2263365.0000 2 0001534338 Common Stock
A 2017-11-06   Bessemer Venture Partners VII L.P. 4 C-Conversion --I 2227365.0000 2227365.0000 1 0001534338 Common Stock
D 2017-11-06   Topper James N 4 C-Conversion --I 1061904.0000 0.0000 7 0001341382 Series C Preferred Stock
D 2017-11-06   Topper James N 4 C-Conversion --I 4629630.0000 0.0000 6 0001341382 Series B Preferred Stock
D 2017-11-06   Topper James N 4 C-Conversion --I 6122448.0000 0.0000 5 0001341382 Series A Preferred Stock
A 2017-11-06   Topper James N 4 P-Purchase --I 500000.0000 3330373.0000 4 0001341382 Common Stock
A 2017-11-06   Topper James N 4 C-Conversion --I 254409.0000 2830373.0000 3 0001341382 Common Stock
A 2017-11-06   Topper James N 4 C-Conversion --I 1109159.0000 2575964.0000 2 0001341382 Common Stock

http://www.sec.gov/cgi-bin/own-disp

Home | Search Home | Previous Page
Modified: 04/22/2016