Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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240.13d-102 Schedule 13G - Information to be included in statements filed
pursuant to 240.13d-1(b), (c), and (d) and amendments thereto
filed pursuant to 240.13d-2.
Securities and Exchange Commission, Washington, D.C. 20549
Schedule 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
(Name of Issuer)
Allena Pharmaceuticals, Inc.
(Title of Class of Securities)
Common Stock, Par Value $0.001 Per Share
(CUSIP Number)
018119107
(Date of Event Which Requires Filing of this Statement)
December 4, 2020
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).
1
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CUSIP No. 018119107
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(1) Names of reporting persons Point72 Asset Management, L.P.
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(2) Check the appropriate box if a member of a group
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(a)
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(see instructions)
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(b)X
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(3) SEC use only
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(4) Citizenship or place of organization Delaware
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Number of shares beneficially owned by each reporting person with:
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(5) Sole voting power 0
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(6) Shared voting power 4,000,000 (see Item 4)
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(7) Sole dispositive power 0
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(8) Shared dispositive power 4,000,000 (see Item 4)
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(9) Aggregate amount beneficially owned by each reporting person
4,000,000 (see Item 4)
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(10) Check if the aggregate amount in Row (9) excludes certain shares
(see instructions)
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(11) Percent of class represented by amount in Row (9) 8.0% (a) (see Item 4)
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(12) Type of reporting person (see instructions) PN
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(a) Based on 50,250,950 shares of the Issuer's common stock, $0.001 par value per share
(“Common Stock”) outstanding, as reflected in the Form 10Q filed by the Issuer with the U.S. Securities and Exchange Commission (“SEC”) on November 9, 2020 (indicating that, as of November 2, 2020, the Issuer had 38,290,950 shares of Common Stock
outstanding) and the Form 8K filed by the Issuer with the SEC on December 3, 2020 (indicating that the Issuer had entered into an underwriting agreement on December 1, 2020 to issue an additional 10,400,000 shares of Common Stock pursuant to a
firm commitment offering and that, on December 3, 2020, the underwriter had exercised its option under the underwriting agreement to purchase an additional 1,560,000 shares of Common Stock, and the offering, including the shares to be issued and
sold pursuant to the exercise of the underwriter's over-allotment option, was expected to close on December 4, 2020).
2
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CUSIP No. 018119107
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(1) Names of reporting persons Point72 Capital Advisors, Inc.
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(2) Check the appropriate box if a member of a group
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(a)
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(see instructions)
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(b)X
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(3) SEC use only
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(4) Citizenship or place of organization Delaware
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Number of shares beneficially owned by each reporting person with:
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(5) Sole voting power 0
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(6) Shared voting power 4,000,000 (see Item 4)
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(7) Sole dispositive power 0
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(8) Shared dispositive power 4,000,000 (see Item 4)
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(9) Aggregate amount beneficially owned by each reporting person
4,000,000 (see Item 4)
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(10) Check if the aggregate amount in Row (9) excludes certain shares
(see instructions)
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(11) Percent of class represented by amount in Row (9) 8.0% (a) (see Item 4)
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(12) Type of reporting person (see instructions) CO
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(a) Based on 50,250,950 shares of the Issuer's common stock, $0.001 par value per share (“Common Stock”) outstanding, as reflected in the Form 10Q filed by the Issuer with the U.S. Securities and Exchange Commission
(“SEC”) on November 9, 2020 (indicating that, as of November 2, 2020, the Issuer had 38,290,950 shares of Common Stock outstanding) and the Form 8K filed by the Issuer with the SEC on December 3, 2020 (indicating that the Issuer had entered into an
underwriting agreement on December 1, 2020 to issue an additional 10,400,000 shares of Common Stock pursuant to a firm commitment offering and that, on December 3, 2020, the underwriter had exercised its option under the underwriting agreement to
purchase an additional 1,560,000 shares of Common Stock, and the offering, including the shares to be issued and sold pursuant to the exercise of the underwriter's over-allotment option, was expected to close on December 4, 2020).
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CUSIP No. 018119107
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(1) Names of reporting persons Steven A. Cohen
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(2) Check the appropriate box if a member of a group
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(a)
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(see instructions)
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(b)X
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(3) SEC use only
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(4) Citizenship or place of organization United States
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Number of shares beneficially owned by each reporting person with:
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(5) Sole voting power 0
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(6) Shared voting power 4,000,000 (see Item 4)
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(7) Sole dispositive power 0
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(8) Shared dispositive power 4,000,000 (see Item 4)
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(9) Aggregate amount beneficially owned by each reporting person
4,000,000 (see Item 4)
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(10) Check if the aggregate amount in Row (9) excludes certain shares
(see instructions)
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(11) Percent of class represented by amount in Row (9) 8.0% (a) (see Item 4)
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(12) Type of reporting person (see instructions) IN
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(a) Based on 50,250,950 shares of the Issuer's common stock, $0.001 par value per share (“Common Stock”) outstanding, as reflected in the Form
10Q filed by the Issuer with the U.S. Securities and Exchange Commission (“SEC”) on November 9, 2020 (indicating that, as of November 2, 2020, the Issuer had 38,290,950 shares of Common Stock outstanding) and the Form 8K filed by the Issuer with
the SEC on December 3, 2020 (indicating that the Issuer had entered into an underwriting agreement on December 1, 2020 to issue an additional 10,400,000 shares of Common Stock pursuant to a firm commitment offering and that, on December 3, 2020,
the underwriter had exercised its option under the underwriting agreement to purchase an additional 1,560,000 shares of Common Stock, and the offering, including the shares to be issued and sold pursuant to the exercise of the underwriter's
over-allotment option, was expected to close on December 4, 2020).
4
Item 1(a) Name of issuer:
Allena Pharmaceuticals, Inc.
Item 1(b) Address of issuer's principal executive offices:
One Newton Executive Park, Suite 202, Newton, Massachusetts 02462
2(a) Name of person filing:
This statement is filed by: (i) Point72 Asset Management, L.P. (“Point72 Asset
Management”) with respect to shares of common stock, par value $0.001 per share
(“Shares”), of the Issuer held by certain investment funds it manages; (ii)
Point72 Capital Advisors, Inc. (“Point72 Capital Advisors Inc.”) with respect
to Shares held by certain investment funds managed by Point72 Asset
Management; and (iii) Steven A. Cohen (“Mr. Cohen”) with respect to Shares
beneficially owned by Point72 Asset Management and Point72 Capital Advisors
Inc.
Point72 Asset Management, Point72 Capital Advisors Inc., and Mr. Cohen have
entered into a Joint Filing Agreement, a copy of which is filed with this
Schedule 13G as Exhibit 99.1, pursuant to which they have agreed to file this
Schedule 13G jointly in accordance with the provisions of Rule 13d-1(k) of the
Act.
2(b) Address or principal business office or, if none, residence:
The address of the principal business office of Point72 Asset Management,
Point72 Capital Advisors Inc., and Mr. Cohen is 72 Cummings Point Road,
Stamford, CT 06902.
Point72 Capital Advisors Inc., and Mr. Cohen is 72 Cummings Point Road,
Stamford, CT 06902.
2(c) Citizenship:
Point72 Asset Management is a Delaware limited partnership.
Point72 Capital Advisors Inc. is a Delaware corporation.
Mr. Cohen is a United States citizen.
2(d) Title of class of securities:
Common Stock, Par Value $0.001 Per Share
2(e) CUSIP Number:
018119107
5
Item 3.
Not applicable
Item 4. Ownership
As of the close of business on December 9, 2020:
1. Point72 Asset Management, L.P.
(a) Amount beneficially owned: 4,000,000
(b) Percent of class: 8.0%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 4,000,000
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition of: 4,000,000
2. Point72 Capital Advisors, Inc.
(a) Amount beneficially owned: 4,000,000
(b) Percent of class: 8.0%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 4,000,000
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition of: 4,000,000
3. Steven A. Cohen
(a) Amount beneficially owned: 4,000,000
(b) Percent of class: 8.0%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote: 4,000,000
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition of: 4,000,000
6
Point72 Asset Management, Point72 Capital Advisors Inc., and Mr. Cohen own
directly no Shares. Pursuant to an investment management agreement, Point72
Asset Management maintains investment and voting power with respect to the
securities held by certain investment funds it manages. Point72 Capital
Advisors Inc. is the general partner of Point72 Asset Management. Mr. Cohen
controls each of Point72 Asset Management and Point72 Capital Advisors Inc.
By reason of the provisions of Rule 13d-3 of the Securities Exchange Act of 1934,
as amended, each of Point72 Asset Management, Point72 Capital Advisors
Inc. and Mr. Cohen may be deemed to beneficially own 4,000,000 Shares
(constituting approximately 8.0% of the Shares outstanding). Each of Point72
Asset Management, Point72 Capital Advisors Inc., and Mr. Cohen disclaims
beneficial ownership of any of the securities covered by this statement.
directly no Shares. Pursuant to an investment management agreement, Point72
Asset Management maintains investment and voting power with respect to the
securities held by certain investment funds it manages. Point72 Capital
Advisors Inc. is the general partner of Point72 Asset Management. Mr. Cohen
controls each of Point72 Asset Management and Point72 Capital Advisors Inc.
By reason of the provisions of Rule 13d-3 of the Securities Exchange Act of 1934,
as amended, each of Point72 Asset Management, Point72 Capital Advisors
Inc. and Mr. Cohen may be deemed to beneficially own 4,000,000 Shares
(constituting approximately 8.0% of the Shares outstanding). Each of Point72
Asset Management, Point72 Capital Advisors Inc., and Mr. Cohen disclaims
beneficial ownership of any of the securities covered by this statement.
Item 5. Ownership of 5 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
5 percent of the class of securities, check the following [].
Item 6. Ownership of More than 5 Percent on Behalf of Another Person.
Not applicable
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reporting on by the Parent Holding Company or Control
Person.
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. Certifications
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, other than
activities solely in connection with a nomination under§ 240.14a-11.
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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: December 10, 2020
POINT72 ASSET MANAGEMENT, L.P.
By: /s/ Jason M. Colombo
Name: Jason M. Colombo
Title: Authorized Person
POINT72 CAPITAL ADVISORS, INC.
By: /s/ Jason M. Colombo
Name: Jason M. Colombo
Title: Authorized Person
STEVEN A. COHEN
By: /s/ Jason M. Colombo
Name: Jason M. Colombo
Title: Authorized Person