0001105806-20-000009.txt : 20200214
0001105806-20-000009.hdr.sgml : 20200214
20200214085640
ACCESSION NUMBER: 0001105806-20-000009
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20200214
DATE AS OF CHANGE: 20200214
SUBJECT COMPANY:
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
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-90175
FILM NUMBER: 20614319
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
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: LYTTON LAURENCE W
CENTRAL INDEX KEY: 0001105806
FILING VALUES:
FORM TYPE: SC 13G/A
MAIL ADDRESS:
STREET 1: 467 CPW
CITY: NY
STATE: NY
ZIP: 10025
SC 13G/A
1
alna.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Amendment 1)
Under the Securities Exchange Act of 1934
Allena Pharmaceuticals, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
018119107
(CUSIP Number)
December 31, 2019
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act
(however, see the Notes).
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB control number.
1. Names of Reporting Persons.
Laurence W. Lytton
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)
(b)
3. SEC Use Only
4. Citizenship or Place of Organization USA
Number of shares Beneficially Owned By
Each Reporting Person With
5. Sole Voting Power 702,800
6. Shared Voting Power 87,300
7. Sole Dispositive Power 702,800
8. Shared Dispositive Power 87,300
9. Aggregate Amount Beneficially Owned by Each Reporting Person 790,100
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
11. Percent of Class Represented by Amount in Row (9) 3.4%
Based on 23,465,665 shares of Common Stock outstanding as of November 1, 2019
as described in the Allena Pharmaceuticals 10-Q filed November 13, 2019.
12. Type of Reporting Person (See Instructions)
IN
Item 1.
(a) Name of Issuer
ALLENA PHARMACEUTICALS, INC.
(b) Address of Issuer's Principal Executive Offices
One Newton Executive Park, Suite 202
Newton, Massachusetts 02462
Item 2.
(a) The names of the persons filing this statement are:
Laurence W. Lytton
(b) The principal business office of the Filers is located at:
467 Central Park West New York, NY 10025
(c) For citizenship of Filers, see Item 4 of the cover sheet for each Filer.
(d) This statement relates to shares of Common Stock of the Issuer.
(e) The CUSIP number of the Issuer is: 018119107
Item 3. If this statement is filed pursuant to rule 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) [ ] Insurance company as defined in section 3(a)(19) of
the Act (15 U.S.C. 78c).
(d) [ ] Investment company registered under section 8 of the Investment Company
Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E).
(f) [ ] An employee benefit plan or endowment fund in accordance with
section 240.13d-1(b)(1)(ii)(F).
(g) [ ] A parent holding company or control person in accordance with
240.13d- 1(b)(1)(ii)(G)
(h) [ ] A savings association as defined in section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C. 1813).
(i) [ ] A church plan that is excluded from the definition
of an investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a- 3).
(j) [ ] A non-U.S. institution in accordance with 240.13d-1(b)(ii)(J).
(k) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
If filing as a non-U.S. institution in accordance with
240.13d-1(b)(1)(ii)(J), please specify the type of institution .
Item 4. Ownership.
See Items 5-9 and 11 of the cover page. The percentage ownership report
in Item 11 is based on the issuer having 23,465,665 shares outstanding
as of November 1, 2019. Of the shares reported in Items 5 and 7 on the
cover page 512,000 shares are held by the reporting person, 85,500 shares
are held for the benefit of the IKL Trust, 98,000 shares are held for
the benefit of the AWL Family LLC, 92,800 shares are held for the benefit
of the Lytton-Kambara Foundation, and 1,800 shares are held for the
benefit of other accounts of which the reporting person is deemed to
have beneficial ownership.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following [X].
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification of Members of the Group.
Not applicable
Item 9. Notice of Dissolution of Group
Not applicable.
Item 10. Certification.
By signing below I certify that, to the best of my knowledge and belief, the
securities referred to above were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer of
the securities and were not acquired and are not held in connection with or
as a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true,
complete and correct.
Dated: February 14, 2020
Laurence W. Lytton