ALNA / Allena Pharmaceuticals Inc - SEC-arkiveringar, Årsredovisning, Fullmaktsutlåtande

ALNA / Allena Pharmaceuticals Inc / Third Rock Ventures II, L.P. - SC 13G/A Passive Investment

SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* Allena Pharmaceuticals, Inc. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE PER SHARE (Title of Class of Securities) 018119107 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: September 30, 2022 ☐

SEC FILE NUMBER 001-38268 CUSIP NUMBER 018119107 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 06, 2022 Allena Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38268 45-2729920 (State or Other Jurisdiction of Incorporation) (Co

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Termination of a Material Definitive Agreement, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Bankruptcy or Receivership

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 2, 2022 (August 29, 2022) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of i

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2022 Allena Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38268 45-2729920 (State or Other Jurisdiction of Incorporation) (Commi

Certificate of Designation of Preferences, Rights and Limitations of Series F Non-Convertible Preferred Stock.

Exhibit 3.3 ALLENA PHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES RIGHTS AND LIMITATIONS OF SERIES F NON-CONVERTIBLE PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE UNDERSIGNED DOES HEREBY CERTIFY, on behalf of Allena Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), that the following resolution was duly adopted

At the Market Offering Agreement between Allena Pharmaceuticals, Inc. and H.C. Wainwright & Co., LLC, dated July 8, 2022.

EX-1.1 2 alna-ex11.htm EX-1.1 Exhibit 1.1 AT THE MARKET OFFERING AGREEMENT July 8, 2022 H.C. Wainwright & Co., LLC 430 Park Avenue, 3rd Floor New York, New York 10022 Ladies and Gentlemen: Allena Pharmaceuticals, Inc., a corporation organized under the laws of Delaware (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (the “Manager”) as follows: 1. Definiti

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One)  QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR  TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

Certificate of Elimination of Series D Convertible Preferred Stock and Series E Convertible Preferred Stock, each a Series of Preferred Stock of Allena Pharmaceuticals, Inc.

Exhibit 3.2 CERTIFICATE OF ELIMINATION OF SERIES D CONVERTIBLE PREFERRED STOCK AND SERIES E CONVERTIBLE PREFERRED STOCK, EACH A SERIES OF PREFERRED STOCK OF ALLENA PHARMACEUTICALS, INC. (Pursuant to Section 151(g) of the Delaware General Corporation Law) ALLENA PHARMACEUTICALS, INC., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), does hereby certi

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 11, 2022 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commi

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 4, 2022 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commis

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 12, 2022 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commiss

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEFA14A 1 d303454ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as pe

Allena Pharmaceuticals Announces New Meeting Date and New Record Date for Special Meeting to Approve Reverse Stock Split

Exhibit 99.1 Allena Pharmaceuticals Announces New Meeting Date and New Record Date for Special Meeting to Approve Reverse Stock Split NEWTON, Mass., July 12, 2022 (GLOBE NEWSWIRE) ? Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic

Certificate of Designation of Series F Non-Convertible Preferred Stock dated July 12, 2022

Exhibit 3.2 ALLENA PHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES RIGHTS AND LIMITATIONS OF SERIES F NON-CONVERTIBLE PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE UNDERSIGNED DOES HEREBY CERTIFY, on behalf of Allena Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), that the following resolution was duly adopted

Form of Subscription and Investment Representation Agreement dated July 12, 2022

Exhibit 10.1 Allena Pharmaceuticals, Inc. Series F Non-Convertible Preferred Stock SUBSCRIPTION AND INVESTMENT REPRESENTATION AGREEMENT THIS AGREEMENT, dated as of July 12, 2022, is by and between Allena Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and the undersigned subscriber (the ?Subscriber?). In consideration of the mutual promises contained herein, and other good, valuable

Certificate of Elimination dated July 12, 2022

Exhibit 3.1 CERTIFICATE OF ELIMINATION OF SERIES D CONVERTIBLE PREFERRED STOCK AND SERIES E CONVERTIBLE PREFERRED STOCK, EACH A SERIES OF PREFERRED STOCK OF ALLENA PHARMACEUTICALS, INC. (Pursuant to Section 151(g) of the Delaware General Corporation Law) ALLENA PHARMACEUTICALS, INC., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), does hereby certi

At the Market Offering Agreement dated July 8, 2022 by and between Allena Pharmaceuticals, Inc. and H.C. Wainwright & Co., LLC

EX-1.1 2 d332927dex11.htm EX-1.1 Exhibit 1.1 AT THE MARKET OFFERING AGREEMENT July 8, 2022 H.C. Wainwright & Co., LLC 430 Park Avenue, 3rd Floor New York, New York 10022 Ladies and Gentlemen: Allena Pharmaceuticals, Inc., a corporation organized under the laws of Delaware (the “Company”), confirms its agreement (this “Agreement”) with H.C. Wainwright & Co., LLC (the “Manager”) as follows: 1. Defin

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 8, 2022 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commissi

Up to $6,189,480 Common Stock

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255837 PROSPECTUS SUPPLEMENT (To Prospectus dated May 12, 2021) Up to $6,189,480 Common Stock We have entered into an at the market offering agreement, or the sales agreement, with H.C. Wainwright & Co., LLC, or Wainwright, relating to shares of our common stock, par value $0.001 per share, or the common stock. In accordance w

Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 8, 2022 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commissi

Allena Pharmaceuticals Announces Rescheduling of Special Meeting to Approve Reverse Stock Split

Exhibit 99.1 Allena Pharmaceuticals Announces Rescheduling of Special Meeting to Approve Reverse Stock Split NEWTON, Mass., July 5, 2022 (GLOBE NEWSWIRE) ? Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, tod

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 5, 2022 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commissi

Termination of a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 27, 2022 Allena Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38268 45-2729920 (State or Other Jurisdiction of Incorporation) (Commiss

Filing Fee Table

Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Allena Pharmaceuticals, Inc.

As filed with the Securities and Exchange Commission on June 23, 2022.

Table of Contents As filed with the Securities and Exchange Commission on June 23, 2022.

Termination of a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2022 Allena Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38268 45-2729920 (State or Other Jurisdiction of Incorporation) (Commiss

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit

Amended and Restated By-Laws of Allena Pharmaceuticals, Inc, as amended

Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF ALLENA PHARMACEUTICALS, INC. (the ?Corporation?) ARTICLE I Stockholders SECTION 1. Annual Meeting. The annual meeting of stockholders of the Corporation (any such meeting being referred to in these By-laws as an ?Annual Meeting?) shall be held at the hour, date and place within or without the United States which is fixed by the Board of Directors, which

Amended and Restated Certificate of Incorporation of Allena Pharmaceuticals, Inc., as amended, including the Certificate of Designation of Preferences, Rights and Limitations of Series D Convertible Preferred Stock and the Certificate of Designation of Preferences, Rights and Limitations of Series E Convertible Preferred Stock.

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ALLENA PHARMACEUTICALS, INC. Allena Pharmaceuticals, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is Allena Pharmaceuticals, Inc. The date of the filing of its original Certificate of Incorporation with the Secretary

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-

Certificate of Designation of Preferences, Rights and Limitations of Series D Convertible Preferred Stock

Exhibit 3.1 ALLENA PHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES D CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE GENERAL CORPORATION LAW OF THE STATE OF DELAWARE The undersigned, Louis Brenner, M.D., does hereby certify that: 1. The undersigned is the Chief Executive Officer of Allena Pharmaceuticals, Inc., a Delaware corporation (th

Allena Pharmaceuticals Announces $2.8 Million Registered Direct Offering

Exhibit 99.1 Allena Pharmaceuticals Announces $2.8 Million Registered Direct Offering NEWTON, Mass., May 4, 2022 (GLOBE NEWSWIRE) ? Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, today announced that it has

Form of Securities Purchase Agreement, dated May 3, 2022, by and between Allena Pharmaceuticals, Inc. and certain Purchaser

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of May 3, 2022, between Allena Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and conditio

1,436.0688 Shares of Series D Convertible Preferred Stock 1,436.0688 Shares of Series E Convertible Preferred Stock (and 17,950,860 Shares of Common Stock issuable upon the conversion of such Preferred stock) Allena Pharmaceuticals, Inc.

424B5 1 d338197d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-255837 PROSPECTUS SUPPLEMENT (To Prospectus dated May 12, 2021) 1,436.0688 Shares of Series D Convertible Preferred Stock 1,436.0688 Shares of Series E Convertible Preferred Stock (and 17,950,860 Shares of Common Stock issuable upon the conversion of such Preferred stock) Allena Pharma

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 4, 2022 (May 3, 2022) Allena

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 4, 2022 (May 3, 2022) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporati

Form of Common Warrant (incorporated by reference to Exhibit 4.1 of the Company’s Form 8-K filed on May 4, 2022).

Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

Amendment No. 1 to Amended and Restated By-Laws of Allena Pharmaceuticals, Inc.

Exhibit 3.3 AMENDMENT NO. 1 TO THE AMENDED AND RESTATED BY-LAWS OF ALLENA PHARMACEUTICALS, INC. The undersigned, being the duly elected and acting President and Chief Executive Officer of Allena Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), does hereby certify that: 1. The Board of Directors of the Corporation approved and adopted the following amendments to the Amended and Re

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 4, 2022 (May 3, 2022) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporati

Form of Placement Agent Warrant

Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

Form of Placement Agent Warrant (incorporated by reference to Exhibit 4.2 of the Company’s Form 8-K filed on May 4, 2022).

Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

Form of Common Warrant

Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR

Amendment No. 1 to Amended and Restated By-Laws of Allena Pharmaceuticals, Inc.

Exhibit 3.3 AMENDMENT NO. 1 TO THE AMENDED AND RESTATED BY-LAWS OF ALLENA PHARMACEUTICALS, INC. The undersigned, being the duly elected and acting President and Chief Executive Officer of Allena Pharmaceuticals, Inc., a Delaware corporation (the ?Corporation?), does hereby certify that: 1. The Board of Directors of the Corporation approved and adopted the following amendments to the Amended and Re

Certificate of Designation of Preferences, Rights and Limitations of Series E Convertible Preferred Stock

Exhibit 3.2 ALLENA PHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES E CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE GENERAL CORPORATION LAW OF THE STATE OF DELAWARE The undersigned, Louis Brenner, M.D., does hereby certify that: 1. The undersigned is the Chief Executive Officer of Allena Pharmaceuticals, Inc., a Delaware corporation (th

Certificate of Designation of Preferences, Rights and Limitations of Series E Convertible Preferred Stock

Exhibit 3.2 ALLENA PHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES E CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE GENERAL CORPORATION LAW OF THE STATE OF DELAWARE The undersigned, Louis Brenner, M.D., does hereby certify that: 1. The undersigned is the Chief Executive Officer of Allena Pharmaceuticals, Inc., a Delaware corporation (th

Form of Securities Purchase Agreement, dated May 3, 2022, by and between Allena Pharmaceuticals, Inc. and certain Purchaser (incorporated by reference to Exhibit 10.1 of the Company’s Form 8-K filed on May 4, 2022).

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of May 3, 2022, between Allena Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and conditio

Press Release, dated May 4, 2022

Exhibit 99.1 Allena Pharmaceuticals Announces $2.8 Million Registered Direct Offering NEWTON, Mass., May 4, 2022 (GLOBE NEWSWIRE) ? Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, today announced that it has

Certificate of Designation of Preferences, Rights and Limitations of Series D Convertible Preferred Stock

Exhibit 3.1 ALLENA PHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES D CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE GENERAL CORPORATION LAW OF THE STATE OF DELAWARE The undersigned, Louis Brenner, M.D., does hereby certify that: 1. The undersigned is the Chief Executive Officer of Allena Pharmaceuticals, Inc., a Delaware corporation (th

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One)  ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38268 Allena Pharmac

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 18, 2022 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commis

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 25, 2022 (February 24, 2022) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of

ALNA / Allena Pharmaceuticals Inc / Point72 Asset Management, L.P. - SCHEDULE 13G (AMENDMENT #1) Passive Investment

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. 1)* (Name of Issuer) Allena Pharmaceuticals, Inc. (Title of Class of Securities) Common Stock, Par Value $

Retention Compensation and Amendment to Employment Agreement, dated January 28, 2022, by and between Allena Pharmaceuticals, Inc. and Louis Brenner, M.D.

Exhibit 10.1 RETENTION COMPENSATION AND AMENDMENT TO EMPLOYMENT AGREEMENT This Retention Compensation and Amendment to Employment Agreement (the ?Agreement?) is dated January 28, 2022 and is by and between Allena Pharmaceuticals, Inc. (the ?Company?) and Louis Brenner, M.D. (the ?Executive?) (together, the ?Parties?). WHEREAS, the Company is in the process of pursuing various strategic alternative

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 2, 2022 (January 28, 2022) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of i

Retention Compensation and Amendment to Employment Agreement, dated January 28, 2022, by and between Allena Pharmaceuticals, Inc. and Richard D. Katz, M.D.

EX-10.2 3 d296452dex102.htm EX-10.2 Exhibit 10.2 RETENTION COMPENSATION AND AMENDMENT TO EMPLOYMENT AGREEMENT This Retention Compensation and Amendment to Employment Agreement (the “Agreement”) is dated January 28, 2022 and is by and between Allena Pharmaceuticals, Inc. (the “Company”) and Richard D. Katz, M.D. (the “Executive”) (together, the “Parties”). WHEREAS, the Company is in the process of

ALNA / Allena Pharmaceuticals Inc / Frazier Healthcare VI, L.P. - SC 13G/A Passive Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.

ALNA / Allena Pharmaceuticals Inc / HIRSCHMAN ORIN Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Amendment No. 1 Under the Securities Exchange Act of 1934 Allena Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.001 Par Value Per Share (Title of Class of Securities) 018119107 (CUSIP Number) January 25, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t

Financial Statements and Exhibits, Results of Operations and Financial Condition, Completion of Acquisition or Disposition of Assets, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 4, 2022 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commi

Allena Pharmaceuticals Provides Clinical and Corporate Update

Exhibit 99.1 Allena Pharmaceuticals Provides Clinical and Corporate Update ? ALLN-346, an orally administered enzyme in development for the treatment of hyperuricemia and gout, demonstrates a statistically significant reduction in serum uric acid and a well-tolerated safety profile in first cohort of patients with hyperuricemia and chronic kidney disease in the Phase 2a Study 201 ? Allena to host

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 23, 2021 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Com

At Market Issuance Sales Agreement, dated December 23, 2021, between Allena Pharmaceuticals, Inc. and B. Riley Securities, Inc.

EX-1.1 2 d270834dex11.htm EX-1.1 Exhibit 1.1 ALLENA PHARMACEUTICALS, INC. $50,000,000 AT MARKET ISSUANCE SALES AGREEMENT December 23, 2021 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, New York 10171 Ladies and Gentlemen: Allena Pharmaceuticals, Inc. (the “Company”), confirms its agreement (this “Agreement”) with B. Riley Securities, Inc. (“Agent”), as follows: 1. Issuance and Sa

$50,000,000 of Common Stock Allena Pharmaceuticals, Inc.

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255837 PROSPECTUS SUPPLEMENT (To prospectus effective May 12, 2021) $50,000,000 of Common Stock Allena Pharmaceuticals, Inc. This prospectus supplement relates to the issuance and sale of up to $50,000,000 of our common stock from time to time through or to our sales agent, B. Riley Securities, Inc. (the ?Agent? or ?B. Riley?)

10,678,872 Shares of Common Stock Underlying Warrants Allena Pharmaceuticals, Inc.

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-255837 PROSPECTUS SUPPLEMENT (To prospectus effective May 12, 2021) 10,678,872 Shares of Common Stock Underlying Warrants Allena Pharmaceuticals, Inc. This prospectus supplement relates to the issuance of 10,678,872 shares of our common stock, par value $0.001 per share (the ?Common Stock?), that are issuable upon the exercise

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 O

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number:

November 12, 2021

CORRESP 1 filename1.htm Goodwin Procter LLP 100 Northern Avenue Boston, MA 02210 goodwinlaw.com +1 617 570 1000 November 12, 2021 Ms. Ibolya Ignat Mr. Daniel Gordon Office of Life Sciences Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Allena Pharmaceuticals, Inc. Form 10-K for the fiscal year ended December 31, 2020 Filed March 11,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ☐ T

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number:

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 10, 2021 Allena Pharmaceuticals, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38268 45-2729920 (State or Other Jurisdiction of Incorporation) (Com

Allena Pharmaceuticals Reports Third Quarter 2021 Financial Results and Recent Corporate Progress

EXHIBIT 99.1 Allena Pharmaceuticals Reports Third Quarter 2021 Financial Results and Recent Corporate Progress  ALLN-346, a first-in-class, non-absorbed, orally administered enzyme in development for the treatment of hyperuricemia and gout in the setting of advanced chronic kidney disease, receives Fast Track Designation from FDA  Two Phase 2a trials for ALLN-346 enrolling patients with gout and

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 29, 2021 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Co

Allena Pharmaceuticals Commences Dosing of Gout Patients in Second Phase 2a Trial of ALLN-346 - Fourteen-day study focused on high unmet need in patients with gout and chronic kidney disease- - Novel therapeutic candidate targets uric acid in the GI

Exhibit 99.1 Allena Pharmaceuticals Commences Dosing of Gout Patients in Second Phase 2a Trial of ALLN-346 - Fourteen-day study focused on high unmet need in patients with gout and chronic kidney disease- - Novel therapeutic candidate targets uric acid in the GI tract ? - Initial data expected in late 2021 or early 2022 - NEWTON, Mass., September 29, 2021 ? Allena Pharmaceuticals, Inc. (NASDAQ: AL

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 27, 2021 (August 25, 2021)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 27, 2021 (August 25, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of inc

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

Amended and Restated Certificate of Incorporation of Allena Pharmaceuticals, Inc. (Incorporated by reference to Exhibit 3.1 to the Registrant’s Form 10-Q filed on August 12, 2021)

Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ALLENA PHARMACEUTICALS, INC. Allena Pharmaceuticals, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), hereby certifies as follows: 1. The name of the Corporation is Allena Pharmaceuticals, Inc. The date of the filing of its original Certificate of Incorporation with the Secretary

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2021 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commi

Allena Pharmaceuticals Reports Second Quarter 2021 Financial Results and Recent Corporate Progress

Exhibit 99.1 Allena Pharmaceuticals Reports Second Quarter 2021 Financial Results and Recent Corporate Progress ? ALLN-346 well-tolerated in recently completed Phase 1b study; first patients dosed in Phase 2a program for gout and chronic kidney disease; initial data expected in Q4 2021 ? June KOL webinar highlighted the unmet need in gout and potential for ALLN-346 ? Updated plan and timing for fi

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 16, 2021 (July 13, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorpo

Form of Pre-Funded Common Stock Purchase Warrant (Incorporated by reference to Exhibit 4.2 of the Registrant’s Form 8-K filed on July 16, 2021)

Exhibit 4.2 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ALLENA PHARMACEUTICALS, INC. Warrant Shares: Issue Date: , 2021 Initial Exercise Date: , 2021 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time

Form of Common Stock Purchase Warrant.

Exhibit 4.1 COMMON STOCK PURCHASE WARRANT ALLENA PHARMACEUTICALS, INC. Warrant Shares: Issue Date: , 2021 Initial Exercise Date: , 2021 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date s

Form of Securities Purchase Agreement

Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of July 13, 2021 between Allena Pharmaceuticals, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and conditi

Allena Pharmaceuticals Announces $28 Million Registered Direct Offering Priced

Exhibit 99.1 Allena Pharmaceuticals Announces $28 Million Registered Direct Offering Priced At-the-Market under Nasdaq Rules July 14, 2021 NEWTON, Mass., July 13, 2021 (GLOBE NEWSWIRE) ? Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe meta

17,416,096 Shares of Common Stock Pre-Funded Warrants to Purchase up to 3,941,648 Shares of Common Stock Warrants to Purchase up to 10,678,872 Shares of Common Stock Up to 14,620,556 Shares of Common Stock underlying such Pre-Funded Warrants and Warr

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 PROSPECTUS SUPPLEMENT (To prospectus dated December 26, 2018) 17,416,096 Shares of Common Stock Pre-Funded Warrants to Purchase up to 3,941,648 Shares of Common Stock Warrants to Purchase up to 10,678,872 Shares of Common Stock Up to 14,620,556 Shares of Common Stock underlying such Pre-Funded Warrants and Warrants Alle

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 13, 2021 (July 12, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorpo

-ALLN-346 successfully completes Phase 1b safety study; on track to start two Phase 2a studies in Q3 2021 with initial data expected in Q4 2021- -Reloxaliase advancing in URIROX-2 Pivotal Phase 3 study; revised interim analysis now targeted for Q1 20

Exhibit 99.1 Allena Pharmaceuticals Provides Update on Clinical Development Programs July 12, 2021 -ALLN-346 successfully completes Phase 1b safety study; on track to start two Phase 2a studies in Q3 2021 with initial data expected in Q4 2021- -Reloxaliase advancing in URIROX-2 Pivotal Phase 3 study; revised interim analysis now targeted for Q1 2022- NEWTON, Mass., July 12, 2021 (GLOBE NEWSWIRE) ?

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 4, 2021 (June 3, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorpora

Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Allena Pharmaceuticals, Inc.

Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ALLENA PHARMACEUTICALS, INC. Allena Pharmaceuticals, Inc. (the ?Corporation?), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?DGCL?), does hereby certify: 1. Pursuant to Section 242 of the DGCL, this Certificate of Amendment to the

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 11, 2021 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commissi

Allena Pharmaceuticals Reports First Quarter 2021 Financial Results and Provides Business Update -- Enrollment ongoing in Phase 3 URIROX-2 clinical trial of reloxaliase; interim analysis expected 2Q or 3Q 2022 -- -- Enrolling healthy volunteers in Ph

Exhibit 99.1 Allena Pharmaceuticals Reports First Quarter 2021 Financial Results and Provides Business Update - Enrollment ongoing in Phase 3 URIROX-2 clinical trial of reloxaliase; interim analysis expected 2Q or 3Q 2022 - - Enrolling healthy volunteers in Phase 1b MAD study of ALLN-346; initial data expected 3Q 2021 - - On-track to initiate Phase 2a program for ALLN-346 in 3Q 2021; initial data

Allena Pharmaceuticals One Newton Executive Park Suite 202 Newton, MA 02462

Allena Pharmaceuticals One Newton Executive Park Suite 202 Newton, MA 02462 May 11, 2021 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

- S-3

Table of Contents As filed with the Securities and Exchange Commission on May 6, 2021 Registration No.

Form of Indenture for Subordinated Debt Securities and the Related Form of Subordinated Debt Security (Incorporated by reference to Exhibit 4.6 to the Registrant’s Form S-3 filed on May 6, 2021)

Exhibit 4.6 ALLENA PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of , 20 Subordinated Debt Securities TABLE OF CONTENTS1 ARTICLE 1 DEFINITIONS Section 1.01 Definitions of Terms ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES Section 2.0 Designation and Terms of Securities Section 2.02 Form of Securities and Trustee?s Certificate Sec

- DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit

Form of Indenture for Senior Debt Securities and the Related Form of Senior Debt Security (Incorporated by reference to Exhibit 4.5 to the Registrant’s Form S-3 filed on May 6, 2021)

Exhibit 4.5 ALLENA PHARMACEUTICALS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of , 20 Senior Debt Securities TABLE OF CONTENTS1 ARTICLE 1 DEFINITIONS Section 1.01 Definitions of Terms ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES Section 2.01 Designation and Terms of Securities Section 2.02 Form of Securities and Trustee?s Certificate Section

Definitive Proxy Statement

DEF 14A 1 d57994ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commis

- DEFA14A

DEFA14A 1 d57994ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as per

- PRE 14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 7, 2021 (April 6, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorpo

Allena Pharmaceuticals Appoints Mark J. Fitzpatrick to its Board of Directors

Exhibit 99.1 Allena Pharmaceuticals Appoints Mark J. Fitzpatrick to its Board of Directors NEWTON, Mass., April 7, 2021 ? Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, today announced the appointment of Mar

Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 2, 2021 (March 31, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorp

Transition Agreement, dated March 31, 2021, by and between Allena Pharmaceuticals, Inc. and Edward Wholihan (Incorporated by reference from Exhibit 10.1 to the Registrant’s Form 8-K filed on April 2, 2021)

Exhibit 10.1 March 31, 2021 PERSONAL AND CONFIDENTIAL Edward Wholihan Re: Transition Agreement Dear Ed: This letter confirms your separation from full time employment and continuation as a part-time consultant with Allena Pharmaceuticals, Inc. (the ?Company?). We appreciate your contributions and would like to make this transition as smooth as possible for you. With that in mind, the Company is of

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 30, 2021 (March 29, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incor

At Market Issuance Sales Agreement, dated March 29, 2021, between Allena Pharmaceuticals, Inc. and B. Riley Securities, Inc.

Exhibit 1.1 Execution Version ALLENA PHARMACEUTICALS, INC. $50,000,000 AT MARKET ISSUANCE SALES AGREEMENT March 29, 2021 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, New York 10171 Ladies and Gentlemen: Allena Pharmaceuticals, Inc. (the ?Company?), confirms its agreement (this ?Agreement?) with B. Riley Securities, Inc. (?Agent?), as follows: 1. Issuance and Sale of Shares. The

$50,000,000 of Common Stock Allena Pharmaceuticals, Inc.

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 PROSPECTUS SUPPLEMENT (To prospectus dated December 26, 2018) $50,000,000 of Common Stock Allena Pharmaceuticals, Inc. This prospectus supplement relates to the issuance and sale of up to $50,000,000 of our common stock from time to time through or to our sales agent, B. Riley Securities, Inc. (the “Agent” or “B.

- S-8

As filed with the Securities and Exchange Commission on March 11, 2021 Registration No.

Annual Report - 2020 10-K ANNUAL REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38268 Allena Pharmac

- S-8

As filed with the Securities and Exchange Commission on March 11, 2021 Registration No.

Amended and Restated Non-Employee Director Compensation Policy

Exhibit 10.11 ALLENA PHARMACEUTICALS, inc. AMENDED AND RESTATED Non-Employee Director Compensation Policy The purpose of this Amended and Restated Non-Employee Director Compensation Policy of Allena Pharmaceuticals, Inc. (the ?Company?), is to provide a total compensation package that enables the Company to attract and retain, on a long-term basis, high-caliber directors who are not employees or o

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 9, 2021 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commiss

Allena Pharmaceuticals Reports Fourth Quarter and Full Year 2020 Financial Results and Provides Business Update -- Reloxaliase continues to progress through ongoing pivotal Phase 3 URIROX-2 trial for enteric hyperoxaluria -- -- ALLN-346 poised to ent

Exhibit 99.1 Allena Pharmaceuticals Reports Fourth Quarter and Full Year 2020 Financial Results and Provides Business Update - Reloxaliase continues to progress through ongoing pivotal Phase 3 URIROX-2 trial for enteric hyperoxaluria - - ALLN-346 poised to enter Phase 1 multiple-ascending dose and Phase 2a trials for hyperuricemia and gout - - Management team strengthened with addition of David Cl

Shareholder Director Nominations

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 5, 2021 (March 4, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorpo

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Allena Pharmaceuticals, Inc. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE (Title of Class of Securiti

SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Allena Pharmaceuticals, Inc. (Name of Issuer) COMMON STOCK, $0.001 PAR VALUE (Title of Class of Securities) 018119107 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate

Joint Filing Agreement as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended

EX-99.1 CUSIP No. 018119107 13G Page 13 of 14 Pages JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)(1) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joi

List of Members of Group

EX-99.2 Exhibit 2 CUSIP No. 018119107 13G Page 14 of 14 Pages Members of Group Deer VII & Co. Ltd. Deer VII & Co. L.P. Bessemer Venture Partners VII Institutional L.P. Bessemer Venture Partners VII L.P. BVP VII Special Opportunity Fund L.P.

Employment Agreement dated January 29, 2021 between Allena Pharmaceuticals, Inc. and Richard Katz.

EX-10.1 Exhibit 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is made as of January 29, 2021 between Allena Pharmaceuticals, Inc. (the “Company”) and Richard D. Katz, MD (the “Executive”) (the Company and the Executive, the “Parties”). WHEREAS, the Company desires to employ the Executive and the Executive desires to be employed by the Company as of the Start Date (as define

Allena Pharmaceuticals Appoints Richard D. Katz, M.D. as Chief Financial Officer — Announces Inducement Grant Under Nasdaq Listing Rule 5635(c)(4) —

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Appoints Richard D. Katz, M.D. as Chief Financial Officer — Announces Inducement Grant Under Nasdaq Listing Rule 5635(c)(4) — Newton, Mass., February 2, 2021 — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rar

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 2, 2021 (January 23, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 28, 2021 (January 23, 2021) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction

2021 Inducement Equity Plan (Incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K filed on January 28, 2021)

EX-10.1 Exhibit 10.1 ALLENA PHARMACEUTICALS, INC. 2021 INDUCEMENT EQUITY PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Allena Pharmaceuticals, Inc. 2021 Inducement Equity Plan (the “Plan”). The purpose of the Plan is to enable Allena Pharmaceuticals, Inc. (the “Company”) and its Subsidiaries to grant equity awards to induce highly-qualified prospective office

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Allena Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.001 Par Value Per Share (Title of Class of Securities) 018119107 (CUSIP Number) January 20, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S

Allena Pharmaceuticals, Inc.

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Allena Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 018119107 (CUSIP Number) December 31, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to w

JOINT FILING AGREEMENT

EX-99.1 2 p13gb.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of

ALNA / Allena Pharmaceuticals, Inc. / Point72 Asset Management, L.P. - SCHEDULE 13G Passive Investment

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

Entry into a Material Definitive Agreement, Other Events - 8-K

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 3, 2020 (December 1, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction

Allena Pharmaceuticals Announces $10.0 Million Bought Deal Offering

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Announces $10.0 Million Bought Deal Offering NEWTON, Mass., December 1, 2020 — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, announced today that it has entered

Allena Pharmaceuticals Increases Previously Announced Bought Deal to $13.0 Million

EX-99.2 Exhibit 99.2 Allena Pharmaceuticals Increases Previously Announced Bought Deal to $13.0 Million NEWTON, Mass., December 1, 2020 — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, announced today that,

Amended and Restated Underwriting Agreement, dated December 1, 2020, between Allena Pharmaceuticals, Inc. and H.C. Wainwright & Co., LLC

EX-1.1 Exhibit 1.1 Allena Pharmaceuticals, Inc. 10,400,000 Shares of Common Stock (par value $0.001 per share) Amended and Restated Underwriting Agreement December 1, 2020 H.C. Wainwright & Co., LLC As Representative of the several Underwriters listed in Schedule A hereto 430 Park Avenue, 4th Floor New York, NY 10022 Ladies and Gentlemen: Allena Pharmaceuticals, Inc., a company incorporated under

10,400,000 Shares Allena Pharmaceuticals, Inc.

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 PROSPECTUS SUPPLEMENT (To prospectus dated December 26, 2018) 10,400,000 Shares Allena Pharmaceuticals, Inc. We are offering 10,400,000 shares of our common stock pursuant to this prospectus supplement and accompanying prospectus. Each share of common stock is being sold at a price per share equal to $1.25. Our co

Allena Pharmaceuticals Announces $10.0 Million Bought Deal Offering

FWP Free Writing Prospectus dated December 1, 2020 Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated December 1, 2020 Registration Statement No.

Allena Pharmaceuticals Increases Previously Announced Bought Deal to $13.0 Million

FWP Free Writing Prospectus dated December 1, 2020 Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated December 1, 2020 Registration Statement No.

-

CORRESP Allena Pharmaceuticals One Newton Executive Park Suite 202 Newton, MA 02462 December 2, 2020 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

Allena Pharmaceuticals Announces $10.0 Million Bought Deal Offering

FWP Free Writing Prospectus dated December 1, 2020 Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated December 1, 2020 Registration Statement No.

Subject to Completion dated December 1, 2020

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are part of an effective registration statement filed with the Securities and Exchange Commission. This preliminary prospectus supplement and the acco

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events - 8-K

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 30, 2020 (November 30, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdictio

Allena Pharmaceuticals Announces Initial Data from Phase 1 Trial of ALLN-346 — Single-Ascending Doses of ALLN-346 Oral Enzyme Well-Tolerated — — Non-Absorption of ALLN-346 Demonstrated — — Advancing to Phase 1b Multiple-Ascending Dose Study and Phase

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Announces Initial Data from Phase 1 Trial of ALLN-346 — Single-Ascending Doses of ALLN-346 Oral Enzyme Well-Tolerated — — Non-Absorption of ALLN-346 Demonstrated — — Advancing to Phase 1b Multiple-Ascending Dose Study and Phase 2 Proof-of-Concept Trial; Initial Data from Both Studies Expected in Second Half of 2021 — Newton, Mass., November 30, 2020 — Al

Risk Factors

S-3 Table of Contents As filed with the Securities and Exchange Commission on November 27, 2020 Registration No.

Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 18, 2020 (November 17, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 12, 2020 (November 10, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of

Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K - Q-3 2020 EARNINGS

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 9, 2020 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Comm

Allena Pharmaceuticals Announces Third Quarter 2020 Financial Results and Provides Business Update -- Presented Data at 53rd Annual Meeting of the American Society of Nephrology (ASN) Highlighting Consistent Treatment Effects Across Phase 2 and 3 Cli

Exhibit 99.1 Allena Pharmaceuticals Announces Third Quarter 2020 Financial Results and Provides Business Update - Presented Data at 53rd Annual Meeting of the American Society of Nephrology (ASN) Highlighting Consistent Treatment Effects Across Phase 2 and 3 Clinical Trials of Reloxaliase in Enteric Hyperoxaluria (EH) - - Completed Dosing of Subjects in Phase 1 Clinical Trial of ALLN-346; Initial

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

Allena Pharmaceuticals Appoints Ann Miller, M.D. to its Board of Directors

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Appoints Ann Miller, M.D. to its Board of Directors Newton, Mass. – October 5, 2020 – Allena Pharmaceuticals, Inc. (NASDAQ:ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, today announced the appointmen

Schedule 14A

DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

- DEFA14A

DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 5, 2020 (September 30, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction

Registration Rights Agreement, dated September 29, 2020 by and among Allena Pharmaceuticals, Inc. and the parties named therein (7)

EX-4.1 Exhibit 4.1 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of September 29, 2020 by and among Allena Pharmaceuticals, Inc., a corporation incorporated in the State of Delaware (the “Company”), and the “Lenders” named in that certain Loan and Security Agreement by and among the Company and the Lenders, dated September 29, 2020

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement, Other Events - 8-K

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 1, 2020 (September 29, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction

Allena Pharmaceuticals Announces $25 Million Strategic Convertible Debt Financing Agreement with Pontifax Ventures — Extends Allena’s Cash Runway into 4Q 2021 — — Debt Can be Converted into Equity at a Price of $4.10 Per Share —

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Announces $25 Million Strategic Convertible Debt Financing Agreement with Pontifax Ventures — Extends Allena’s Cash Runway into 4Q 2021 — — Debt Can be Converted into Equity at a Price of $4.10 Per Share — Newton, Mass. – September 30, 2020 – Allena Pharmaceuticals, Inc. (NASDAQ:ALNA), a late-stage, biopharmaceutical company dedicated to developing and c

Loan and Security Agreement, dated September 29, 2020, among Allena Pharmaceuticals, Inc. and the Lender parties thereto (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed October 1, 2020 (Commission File No. 001-38268)).

EX-10.1 Exhibit 10.1 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT is made and dated as of September 29, 2020 and is entered into by and between Allena Pharmaceuticals, Inc., a corporation incorporated in the State of Delaware and each of its Subsidiaries from time to time party hereto, except for the Excluded Subsidiaries (collectively referred to as “Borrower” or “Allena”), Pontif

Shareholder Director Nominations - 8-K

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 28, 2020 (August 24, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of

Quarterly Report - 10-Q - JUNE 30, 2020

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 5, 2020 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commis

Allena Pharmaceuticals Announces Second Quarter 2020 Financial Results and Provides Business Update -- Expanding URIROX-2 Trial Sites; Interim Analysis on Track for the First Quarter of 2022 – -- Initiated Phase 1 Clinical Trial of ALLN-346; Initial

Exhibit 99.1 Allena Pharmaceuticals Announces Second Quarter 2020 Financial Results and Provides Business Update - Expanding URIROX-2 Trial Sites; Interim Analysis on Track for the First Quarter of 2022 – - Initiated Phase 1 Clinical Trial of ALLN-346; Initial Data Expected in the Fourth Quarter of 2020 – - Raised Gross Proceeds of $22.7M Through Two Public Offerings, Extending Cash Runway Beyond

Allena Pharmaceuticals Announces $5.0 Million Bought Deal Offering

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Announces $5.0 Million Bought Deal Offering NEWTON, Mass., July 27, 2020 — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, announced today that it has entered into

5,125,384 Shares Allena Pharmaceuticals, Inc.

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 PROSPECTUS SUPPLEMENT (To prospectus dated December 26, 2018) 5,125,384 Shares Allena Pharmaceuticals, Inc. We are offering 5,125,384 shares of our common stock pursuant to this prospectus supplement and accompanying prospectus. Each share of common stock is being sold at a price per share equal to $1.30. Our comm

Entry into a Material Definitive Agreement, Other Events

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 29, 2020 (July 27, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of inc

Amended and Restated Underwriting Agreement, dated July 27, 2020, between Allena Pharmaceuticals, Inc. and H.C. Wainwright & Co., LLC.

EX-1.1 Exhibit 1.1 Allena Pharmaceuticals, Inc. 5,125,384 Shares of Common Stock (par value $0.001 per share) Amended and Restated Underwriting Agreement July 27, 2020 H.C. Wainwright & Co., LLC As Representative of the several Underwriters listed in Schedule A hereto 430 Park Avenue, 4th Floor New York, NY 10022 Ladies and Gentlemen: Allena Pharmaceuticals, Inc., a company incorporated under the

Allena Pharmaceuticals Increases Previously Announced Bought Deal to $6.7 Million

EX-99.2 Exhibit 99.2 Allena Pharmaceuticals Increases Previously Announced Bought Deal to $6.7 Million NEWTON, Mass., July 27, 2020 — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, announced today that, due

Allena Pharmaceuticals Increases Previously Announced Bought Deal to $6.7 Million

FWP 1 d53455dfwp.htm FWP Free Writing Prospectus dated July 27, 2020 Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated July 27, 2020 Registration Statement No. 333-228656 Allena Pharmaceuticals Increases Previously Announced Bought Deal to $6.7 Million NEWTON, Mass., July 27, 2020 — — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical comp

Subject to Completion dated July 27, 2020

424B5 1 d53455d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are part of an effective registration statement filed with the Securities and Exchange Commission. This preliminary prospectu

Allena Pharmaceuticals Announces $5.0 Million Bought Deal Offering

FWP Free Writing Prospectus dated July 27, 2020 Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplement dated July 27, 2020 Registration Statement No.

ALNA / Allena Pharmaceuticals, Inc. / Empery Asset Management, LP - ALLENA PHARMACEUTICALS, INC. Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Allena Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 018119107 (CUSIP Number) June 3, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which t

Entry into a Material Definitive Agreement, Other Events

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 5, 2020 (June 3, 2020) Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incor

7,317,074 Shares Allena Pharmaceuticals, Inc.

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 PROSPECTUS SUPPLEMENT (To prospectus dated December 26, 2018) 7,317,074 Shares Allena Pharmaceuticals, Inc. We are offering 7,317,074 shares of our common stock pursuant to this prospectus supplement and accompanying prospectus to certain institutional investors. Each share of common stock is being sold at a price

Form of Securities Purchase Agreement

EX-10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 3, 2020, between Allena Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and

Allena Pharmaceuticals Announces $15.0 Million Registered Direct Offering Priced At-the-Market under Nasdaq Rules

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Announces $15.0 Million Registered Direct Offering Priced At-the-Market under Nasdaq Rules NEWTON, Mass., June 3, 2020 — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disor

Quarterly Report - Q1-2020 10Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

Allena Pharmaceuticals Reports First Quarter 2020 Financial Results and Provides Business Update -- Revised URIROX-2 Trial Design to Potentially Reduce Size and Cost of Trial-- -- Finalized Protocol and Selected Contract Research Organization for Pha

Exhibit 99.1 Allena Pharmaceuticals Reports First Quarter 2020 Financial Results and Provides Business Update - Revised URIROX-2 Trial Design to Potentially Reduce Size and Cost of Trial- - Finalized Protocol and Selected Contract Research Organization for Phase 1 Clinical Trial of ALLN-346 – - Presenting Late-Breaking Abstract on Kidney Stone Risk and Association with Urinary Oxalate Levels in Co

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 13, 2020 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commissi

Form 10-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38268 Allena Pharm

Allena Pharmaceuticals Reports Fourth Quarter 2019 and Full Year 2019 Financial Results and Provides Business Update -- Streamlined URIROX-2 Design Potentially Reduces Target Length and Cost of Trial -- -- Regulatory Engagement on Registrational Path

Exhibit 99.1 Allena Pharmaceuticals Reports Fourth Quarter 2019 and Full Year 2019 Financial Results and Provides Business Update - Streamlined URIROX-2 Design Potentially Reduces Target Length and Cost of Trial - - Regulatory Engagement on Registrational Path for Reloxaliase in High-Risk Enteric Hyperoxaluria (EH) Patients with Chronic Kidney Disease (CKD) Expected in 2Q 2020 - - Investigational

Description of Securities of the Registrant

Exhibit 4.5 Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended The summary of the general terms and provisions of the registered securities of Allena Pharmaceuticals, Inc. (“Allena” “we,” or “our”) set forth below does not purport to be complete and is subject to and qualified in its entirety by reference to our Amended a

ALNA / Allena Pharmaceuticals, Inc. 10-K - Annual Report - 2019 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38268 Allena Pharmac

ALNA / Allena Pharmaceuticals, Inc. S-8 - - S-8

S-8 As filed with the Securities and Exchange Commission on March 16, 2020 Registration No.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 16, 2020 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commis

ALNA / Allena Pharmaceuticals, Inc. / Partner Fund Management, L.P. - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No.  3  )* Allena Pharmaceuticals, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 018119107 (CUSIP Number) December 31, 2019 Date of Event Which

ALNA / Allena Pharmaceuticals, Inc. / Altium Capital Management Lp - AMENDMENT TO FORM SC 13G Passive Investment

SC 13G/A 1 alna-sc13ga123119.htm AMENDMENT TO FORM SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* 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

Financial Statements and Exhibits, Other Events

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 12, 2020 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation)

Allena Pharmaceuticals Announces Streamlined Design for URIROX-2, Second Pivotal Clinical Trial of Reloxaliase for Enteric Hyperoxaluria — Reducing Target Enrollment to 200 Subjects — — Conducting Earlier Interim Analysis, Expected in Q3 2021 — — Com

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Announces Streamlined Design for URIROX-2, Second Pivotal Clinical Trial of Reloxaliase for Enteric Hyperoxaluria — Reducing Target Enrollment to 200 Subjects — — Conducting Earlier Interim Analysis, Expected in Q3 2021 — — Company to Host Conference Call at 8:30 a.m. ET Today — Newton, Mass., February 12, 2020 — Allena Pharmaceuticals, Inc. (NASDAQ: ALN

Joint Filing Agreement, dated as of February 11, 2020, by and between HBM BioCapital II LP and HBM BioCapital II Management Ltd.

Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that this Schedule 13G with respect to the common stock, par value $0.

ALNA / Allena Pharmaceuticals, Inc. / Hbm Biocapital Ii Lp - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Allena Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (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 designat

Allena Pharmaceuticals Provides Updates on Reloxaliase Development Program and Corporate Activities -- Prioritizing Development of Reloxaliase for Patients with Enteric Hyperoxaluria (EH) – - Plan to Re-Engage with U.S. Food and Drug Administration (

Exhibit 99.1 Allena Pharmaceuticals Provides Updates on Reloxaliase Development Program and Corporate Activities - Prioritizing Development of Reloxaliase for Patients with Enteric Hyperoxaluria (EH) – - Plan to Re-Engage with U.S. Food and Drug Administration (FDA) to Evaluate Opportunities to Streamline URIROX-2, Second Pivotal Phase 3 Trial of Reloxaliase in EH - - Implementing Measures to Redu

Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 29, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Com

ALNA / Allena Pharmaceuticals, Inc. 10-Q - Quarterly Report - ALLENA 10-Q SEPTEMBER 2019

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

Loan and Security Agreement by and between Allena Pharmaceuticals, Inc. and Pacific Western Bank, dated June 29, 2018, as amended August 1, 2019

Exhibit 10.1 ALLENA PHARMACEUTICALS, INC. PACIFIC WESTERN BANK LOAN AND SECURITY AGREEMENT This LOAN AND SECURITY AGREEMENT (the “Agreement”) is entered into as of June 29, 2018, by and between PACIFIC WESTERN BANK, a California state chartered bank (“Bank”) and ALLENA PHARMACEUTICALS, INC., a Delaware corporation (“Borrower”). RECITALS Borrower wishes to obtain credit from time to time from Bank,

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 13, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation)

Allena Pharmaceuticals Reports Third Quarter 2019 Financial Results and Provides Business Update — Reported Positive Topline Results from Pivotal Phase 3 URIROX-1 Trial of Reloxaliase in Enteric Hyperoxaluria (EH), with Statistically Significant Redu

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Reports Third Quarter 2019 Financial Results and Provides Business Update — Reported Positive Topline Results from Pivotal Phase 3 URIROX-1 Trial of Reloxaliase in Enteric Hyperoxaluria (EH), with Statistically Significant Reduction in Urinary Oxalate (UOx) Compared to Placebo — — Reported Positive Data from Study 206 of Reloxaliase, Demonstrating Substa

Allena Pharmaceuticals, Inc. These slides, and the accompanying presentation, contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “proje

EX-99.2 Exhibit 99.2 URIROX-1 and Study 206 Topline Results November 7, 2019Exhibit 99.2 URIROX-1 and Study 206 Topline Results November 7, 2019 Allena Pharmaceuticals, Inc. These slides, and the accompanying presentation, contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “project,”

Allena Pharmaceuticals Reports Positive Reloxaliase Topline Results from URIROX-1 Trial and from Study 206 Phase 3 URIROX-1 Trial Achieves Primary Endpoint with Statistically Significant Reduction in Urinary Oxalate in Patients with Enteric Hyperoxal

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Reports Positive Reloxaliase Topline Results from URIROX-1 Trial and from Study 206 Phase 3 URIROX-1 Trial Achieves Primary Endpoint with Statistically Significant Reduction in Urinary Oxalate in Patients with Enteric Hyperoxaluria Phase 2 Study 206 Trial Demonstrates Substantial Plasma Oxalate Reduction in Patients with Enteric Hyperoxaluria and Advance

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 7, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (

Allena Pharmaceuticals Reports Second Quarter 2019 Financial Results and Provides Business Update -- Interim Data from Study 206 Demonstrated Substantial Treatment Effect in Patients with Enteric Hyperoxaluria and Advanced Chronic Kidney Disease, Inc

Exhibit 99.1 Allena Pharmaceuticals Reports Second Quarter 2019 Financial Results and Provides Business Update - Interim Data from Study 206 Demonstrated Substantial Treatment Effect in Patients with Enteric Hyperoxaluria and Advanced Chronic Kidney Disease, Including Robust Reductions in Both Urine and Plasma Oxalate– - Closed $10.0 Million Registered Direct Offering, Extending Cash Runway into t

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 7, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commis

ALNA / Allena Pharmaceuticals, Inc. 10-Q - Quarterly Report - 10-Q - JUNE 30, 2019

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

ALNA / Allena Pharmaceuticals, Inc. / Altium Capital Management Lp - ACQUISITION OF BENEFICIAL OWNERSHIP Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Allena Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 018119107 (CUSIP Number) June 28, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this

2,632,092 Shares Common Stock

424B5 1 d762542d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 PROSPECTUS SUPPLEMENT (to Prospectus dated December 26, 2018) 2,632,092 Shares Common Stock We are offering 2,632,092 shares of our common stock, with a par value of $0.001 per share for an issue price of $3.80 per share in a registered direct offering directly to investors that are not a

Form of Securities Purchase Agreement dated as of June 27, 2019 by and between Allena Pharmaceuticals, Inc. and the purchasers signatory thereto

EX-10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 27, 2019, between Allena Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms an

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 27, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Com

Allena Pharmaceuticals Announces $10.0 Million Registered Direct Offering of Common Stock

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Announces $10.0 Million Registered Direct Offering of Common Stock NEWTON, Mass., June 27, 2019 — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and kidney disorders, today announced t

Allena Pharmaceuticals Announces Interim Results from Study 206 of Reloxaliase in High Risk Patients with Advanced Oxalate Disorders — Substantial Treatment Effect Observed in Patients with Enteric Hyperoxaluria, Including Robust Reductions in Both U

EX-99.2 Exhibit 99.2 Allena Pharmaceuticals Announces Interim Results from Study 206 of Reloxaliase in High Risk Patients with Advanced Oxalate Disorders — Substantial Treatment Effect Observed in Patients with Enteric Hyperoxaluria, Including Robust Reductions in Both Urine and Plasma Oxalate – — Reloxaliase Well-Tolerated Over 12 Weeks of Dosing — — Detailed Results to be Presented at OHF Intern

Financial Statements and Exhibits, Other Events

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 21, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Com

Allena Pharmaceuticals Showcases Reloxaliase and Enteric Hyperoxaluria Program at OHF International Hyperoxaluria Workshop

EX-99.1 Exhibit 99.1 Allena Pharmaceuticals Showcases Reloxaliase and Enteric Hyperoxaluria Program at OHF International Hyperoxaluria Workshop NEWTON, Mass., June 21, 2019 — Allena Pharmaceuticals, Inc. (NASDAQ: ALNA), a late-stage, biopharmaceutical company dedicated to developing and commercializing first-in-class, oral enzyme therapeutics to treat patients with rare and severe metabolic and ki

Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 5, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commissi

Allena Pharmaceuticals, Inc. These slides, and any accompanying presentation, contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “proje

Bringing First-in-Class Oral Enzyme Therapeutics to Patients with Rare and Severe Metabolic and Kidney Disorders June 2019 Exhibit 99.

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 4, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commissi

Allena Pharmaceuticals Announces Interim Results from Study 206 of Reloxaliase in High Risk Patients with Advanced Oxalate Disorders -- Substantial Treatment Effect Observed in Patients with Enteric Hyperoxaluria, Including Robust Reductions in Both

Exhibit 99.1 Allena Pharmaceuticals Announces Interim Results from Study 206 of Reloxaliase in High Risk Patients with Advanced Oxalate Disorders - Substantial Treatment Effect Observed in Patients with Enteric Hyperoxaluria, Including Robust Reductions in Both Urine and Plasma Oxalate – - Reloxaliase Well-Tolerated Over 12 Weeks of Dosing - - Detailed Results to be Presented at OHF International

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 8, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commissio

Allena Pharmaceuticals Reports First Quarter 2019 Financial Results and Provides Business Update -- Entered into Agreement with Duke Clinical Research Institute (DCRI) to Support Phase 3 URIROX-2™ Trial and Promote Enteric Hyperoxaluria Disease Aware

Exhibit 99.1 Allena Pharmaceuticals Reports First Quarter 2019 Financial Results and Provides Business Update - Entered into Agreement with Duke Clinical Research Institute (DCRI) to Support Phase 3 URIROX-2™ Trial and Promote Enteric Hyperoxaluria Disease Awareness – - All Clinical Programs Progressing on Track; Expect to Report Initial Data from Study 206 in Second Quarter and Topline Data from

Form 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

ALNA / Allena Pharmaceuticals, Inc. DEFA14A DEFA14A

DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐

Schedule 14A

DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 12, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commis

Allena Pharmaceuticals, Inc. These slides, and any accompanying presentation, contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “proje

Bringing First-in-Class Oral Enzyme Therapeutics to Patients with Rare and Severe Metabolic and Kidney Disorders March 2019 Exhibit 99.

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 13, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commis

ALNA / Allena Pharmaceuticals, Inc. S-8

S-8 As filed with the Securities and Exchange Commission on March 7, 2019 Registration No.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 7, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commiss

Allena Pharmaceuticals Reports Fourth Quarter and Full Year 2018 Financial Results and Provides Business Update -- Achieved Alignment with U.S. Food and Drug Administration (FDA) on Phase 3 URIROXTM Program and Accelerated Approval Strategy for Relox

Exhibit 99.1 Allena Pharmaceuticals Reports Fourth Quarter and Full Year 2018 Financial Results and Provides Business Update - Achieved Alignment with U.S. Food and Drug Administration (FDA) on Phase 3 URIROXTM Program and Accelerated Approval Strategy for Reloxaliase – - Phase 3 URIROX-1 and URIROX-2 Trials Ongoing; URIROX-1 Topline Data Expected in Second Half of 2019 - - Louis Brenner, M.D. App

Form 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38268 Allena Pharmac

ALNA / Allena Pharmaceuticals, Inc. / Partner Fund Management, L.P. - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Allena Pharmaceuticals, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 018119107 (CUSIP Number) December 31, 2018 Date of Event Which R

Allena Pharmaceuticals, Inc. These slides, and any accompanying presentation, contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “proje

Exhibit 99.2 Bringing First-in-Class Oral Enzyme Therapeutics to Patients with Rare and Severe Metabolic and Kidney Disorders January 2019 Exhibit 99.2 Allena Pharmaceuticals, Inc. These slides, and any accompanying presentation, contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “pro

Transition Agreement, dated January 4, 2019 by and between Allena Pharmaceuticals, Inc. and Alexey Margolin, Ph.D. (Incorporated by reference to Exhibit 10.1 to the Registrant’s Form 8-K filed on January 4, 2019)

Exhibit 10.1 Exhibit 10.1 January 4, 2019 Alexey Margolin, Ph.D. Re: Transition Agreement Dear Alexey: This letter follows our recent discussions about your employment as Chief Executive Officer of Allena Pharmaceuticals, Inc. (the “Company”). As you know, you have informed the Company of your decision to resign your employment with the Company, and the Company has accepted your resignation. The C

Allena Pharmaceuticals Announces Appointment of Louis Brenner, M.D. as Chief Executive Officer and Confirms Key Milestones for 2019 — Alexey Margolin, Ph.D. to Transition to Chairman of the Board – — URIROX-2™ Initiated; URIROX-1™ Topline Data Expect

EX-99.1 4 d663422dex991.htm EXHIBIT 99.1 Exhibit 99.1 Allena Pharmaceuticals Announces Appointment of Louis Brenner, M.D. as Chief Executive Officer and Confirms Key Milestones for 2019 — Alexey Margolin, Ph.D. to Transition to Chairman of the Board – — URIROX-2™ Initiated; URIROX-1™ Topline Data Expected in Second Half of 2019 — — Multiple Catalysts Expected Across Pipeline in 2019 — NEWTON, Mass

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 4, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporatio

Amended and Restated Employment Agreement, dated January 4, 2019 by and between Allena Pharmaceuticals, Inc. and Louis Brenner, M.D. (Incorporated by reference to Exhibit 10.2 to the Registrant’s Form 8-K filed on January 4, 2019)

Exhibit 10.2 Exhibit 10.2 AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amended and Restated Employment Agreement (this “Agreement”) is entered into and effective as of January 4, 2019 (the “Effective Date”), by and between Allena Pharmaceuticals, Inc. (the “Company”) and Louis Brenner, M.D. (the “Executive”). RECITALS WHEREAS, the Company and the Executive are parties to an Employment Agreement

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 2, 2019 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commi

Allena Pharmaceuticals Achieves Alignment with FDA on Phase 3 Program and Accelerated Approval Pathway for Reloxaliase in Enteric Hyperoxaluria -- Primary Efficacy Endpoint of Change in Urinary Oxalate Excretion at Four Weeks -- -- URIROX-2™, Second

Exhibit 99.1 Allena Pharmaceuticals Achieves Alignment with FDA on Phase 3 Program and Accelerated Approval Pathway for Reloxaliase in Enteric Hyperoxaluria - Primary Efficacy Endpoint of Change in Urinary Oxalate Excretion at Four Weeks - - URIROX-2™, Second Pivotal Phase 3 Trial, Initiated in Fourth Quarter of 2018 - - URIROX-1™, First Pivotal Phase 3 Trial, Enrolling; Topline Data Expected in S

Up to $50,000,000 Common Stock

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-228656 PROSPECTUS Up to $50,000,000 Common Stock We have entered into a certain Sales Agreement, or sales agreement, with Cowen and Company, LLC, or Cowen, relating to shares of our common stock offered by this prospectus. In accordance with the terms of the sales agreement, we may offer and sell shares of our common sto

ALNA / Allena Pharmaceuticals, Inc.

CORRESP VIA EDGAR December 21, 2018 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.

Form of indenture for subordinated debt securities and the related form of subordinated debt security

EX-4.6 Exhibit 4.6 ALLENA PHARMACEUTICALS, INC. TO Trustee Indenture Dated as of , 20 Subordinated Debt Securities TABLE OF CONTENTS Page ARTICLE ONE - DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 SECTION 101. Definitions 1 SECTION 102. Compliance Certificates and Opinions 9 SECTION 103. Form of Documents Delivered to Trustee 9 SECTION 104. Acts of Holders 10 SECTION 105. Notices, etc

ALNA / Allena Pharmaceuticals, Inc. S-3

S-3 Table of Contents As filed with the Securities and Exchange Commission on December 3, 2018.

Sales Agreement dated December 3, 2018 by and between the Company and Cowen and Company, LLC

EX-1.2 Exhibit 1.2 Execution Version ALLENA PHARMACEUTICALS, INC. $50,000,000 COMMON STOCK SALES AGREEMENT December 3, 2018 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 Ladies and Gentlemen: Allena Pharmaceuticals, Inc. (the “Company”), confirms its agreement (this “Agreement”) with Cowen and Company, LLC (“Cowen”), as follows: 1. Issuance and Sale of Shares. The Company agrees t

Form of indenture for senior debt securities and the related form of senior debt security

EX-4.5 Exhibit 4.5 ALLENA PHARMACEUTICALS, INC. TO Trustee Indenture Dated as of , 20 Senior Debt Securities TABLE OF CONTENTS Page ARTICLE ONE - DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 SECTION 101. Definitions 1 SECTION 102. Compliance Certificates and Opinions 8 SECTION 103. Form of Documents Delivered to Trustee 8 SECTION 104. Acts of Holders 9 SECTION 105. Notices, etc., to T

JOINT FILING AGREEMENT

EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT We, the undersigned, hereby express our agreement that the attached Schedule 13G is, and any further amendments thereto signed by each of the undersigned shall be, filed on behalf of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934. This agreement may be terminated with respect to the obligat

ALNA / Allena Pharmaceuticals, Inc. / Pharmstandard International S.A. - SC 13G Passive Investment

SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Allena Pharmaceuticals, Inc. (Name of Issuer) (Common Stock, $.001 par value per share) 018119107 (CUSIP Number) September 18, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to

Allena Pharmaceuticals Reports Third Quarter 2018 Financial Results and Provides Business Update -- Global Phase 3 URIROX-1™ Trial Ongoing; Expect to Initiate Second Phase 3 Study, URIROX-2™, in 2018 -- -- Presented Preclinical Proof-of-Concept Data

Exhibit 99.1 Allena Pharmaceuticals Reports Third Quarter 2018 Financial Results and Provides Business Update - Global Phase 3 URIROX-1™ Trial Ongoing; Expect to Initiate Second Phase 3 Study, URIROX-2™, in 2018 - - Presented Preclinical Proof-of-Concept Data on ALLN-346 at American College of Rheumatology (ACR/ARHP) Annual Meeting and New Data Characterizing Unmet Need in Enteric Hyperoxaluria at

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 7, 2018 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Comm

Commercial Lease, by and between the Registrant and Cummings Properties, LLC, dated August 18, 2016, as amended.

Exhibit 10.10 CUMMINGS PROPERTIES, LLC STANDARD FORM COMMERCIAL LEASE Cummings Properties, LLC (“LESSOR”) hereby leases to Allena Pharmaceuticals. Inc. (a DE corp.), One Newton Executive Park, Suite 202, Newton, MA 02462 (“LESSEE”), the following premises, approximately 7,162 square feet (including 4.7% common area) at 142-B North Road, Sudbury, MA 01776 (“premises”), for a term of one year commen

September 30, 2018

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38268 ALLENA PHARMACEUTICALS, INC.

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 22, 2018 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Comm

Allena Pharmaceuticals Presents Preclinical Data Demonstrating Normalized Urine Uric Acid Excretion and Plasma Urate Reduction Following Treatment with ALLN-346 – Data Presented in Poster Session at 2018 ACR/ARHP Annual Meeting –

Exhibit 99.1 Allena Pharmaceuticals Presents Preclinical Data Demonstrating Normalized Urine Uric Acid Excretion and Plasma Urate Reduction Following Treatment with ALLN-346 – Data Presented in Poster Session at 2018 ACR/ARHP Annual Meeting – NEWTON, Mass., October 22, 2018 - Allena Pharmaceuticals, Inc. (NASDAQ:ALNA), a late-stage biopharmaceutical company dedicated to developing and commercializ

Regulation FD Disclosure, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 2, 2018 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (Commi

Allena Pharmaceuticals, Inc. These slides contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “project,” “intend,” “future,” “potential,

Bringing First-in-Class Oral Enzyme Therapeutics to Patients with Rare and Severe Metabolic and Kidney Disorders October 2018 Exhibit 99.

Regulation FD Disclosure, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 14, 2018 Allena Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-38268 45-2729920 (State or other jurisdiction of incorporation) (C

Allena Pharmaceuticals, Inc. These slides contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “project,” “intend,” “future,” “potential,

EX-99.1 Bringing First-in-Class Oral Enzyme Therapeutics to Patients with Rare and Severe Metabolic and Kidney Disorders August 2018 Exhibit 99.1 Allena Pharmaceuticals, Inc. These slides contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “project,” “intend,” “future,” “potential,” or