Form D · Pharmaceuticals
Allena Pharmaceuticals, Inc.
Newton, MA · CIK 0001624658
Offering snapshot reported May 17, 2022 · SEC filing
- Reported sold
- $4.05M Offering amount: $4.05M
- Investors reported
- 5 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- May 4, 2022 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| May 17, 2022 | Initial | $4,052,406 | No comparison | 5 | SEC filing |
| Dec 10, 2015 | Initial | $51,442,139 | No comparison | 8 | SEC filing |
| Nov 13, 2014 | Initial | $25,000,000 | No comparison | 7 | SEC filing |
Offering details
- Securities
- Option to acquire
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $315K
- Finders' fees
- $0
- Form D file number
- 021-445953
Includes warrants to buy up to 22,438,575 shares of common stock at an exercise price of $0.1694/share issued to the investor and up to 1,256,561 shares of common stock at an exercise price of $0.20/share issued to H.C.Wainwright&Co.LLC and its affiliates
H.C. Wainwright & Co., LLC received the above sales commission and the warrants in connection with the private placement and a concurrent registered direct offering by the Issuer, which is not reported on this Form D.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| H.C. Wainwright & Co., LLC | 375 |
Source: Form D, filed May 17, 2022. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Axel Bolte | Director |
| Louis Brenner | Executive |
| Louis Brenner, M.D. | Director, Executive |
| Allene Diaz | Director |
| Mark Fitzpatrick | Director |
| Richard D. Katz, M.D. | Executive |
| Stephen Kraus | Director |
| Alexey Margolin | Director |
| Ann C. Miller | Director |
| Gino Santini | Director |
| Robert Tepper | Director |
| James Topper | Director |
Issuer details
Industry: Pharmaceuticals (See others in industry)
Address:
One Newton Executive Park Suite 202
Newton, MA, 02462
Newton, MA, 02462