# EDGAR Filing Document

**Accession Number:** 0001624658
**File Stem:** 0001193125-23-039093
**Filing Date:** 2023-2
**Character Count:** 16358
**Document Hash:** f99278b45fbad521746ba20d4a8cc56e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-039093.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001193125-23-039093

**CONFORMED SUBMISSION TYPE**: SC 13G/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**GROUP MEMBERS**: ROBERT I. TEPPER

**GROUP MEMBERS**: THIRD ROCK VENTURES GP II, L.P.

**GROUP MEMBERS**: TRV GP II, LLC

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Allena Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001624658
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 452729920
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-90175
- **FILM NUMBER:** 23629168

**BUSINESS ADDRESS:**
- **STREET 1:** 142 -F NORTH ROAD, SUITE 150
- **CITY:** SUDBURY
- **STATE:** MA
- **ZIP:** 01776
- **BUSINESS PHONE:** 617-467-4577

**MAIL ADDRESS:**
- **STREET 1:** 142 -F NORTH ROAD, SUITE 150
- **CITY:** SUDBURY
- **STATE:** MA
- **ZIP:** 01776
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Third Rock Ventures II, L.P.
- **CENTRAL INDEX KEY:** 0001488495
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A

**BUSINESS ADDRESS:**
- **STREET 1:** 29 NEWBURY STREET
- **STREET 2:** 3RD FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02116
- **BUSINESS PHONE:** 617-585-2000

**MAIL ADDRESS:**
- **STREET 1:** 29 NEWBURY STREET
- **STREET 2:** 3RD FLOOR
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02116

------

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**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION** 

**Washington, D.C. 20549** 

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**SCHEDULE 13G** 

**UNDER THE SECURITIES EXCHANGE ACT OF 1934** 

**(Amendment No. 1)\*** 

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## 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)** 

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Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

\* The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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CUSIP No. 018119107 SCHEDULE 13G Page 2 of 9 Pages

1. NAMES OF
REPORTING PERSONS &nbsp;&nbsp;&nbsp;&nbsp; Third Rock Ventures II, L.P.

2. CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP &nbsp;&nbsp;&nbsp;&nbsp; (a) ☐ (b) ☒

3. &nbsp;&nbsp;&nbsp;&nbsp; SEC USE ONLY

4. CITIZENSHIP OR PLACE OF
ORGANIZATION &nbsp;&nbsp;&nbsp;&nbsp; Delaware

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 5. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 6. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 7. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 8. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |

---

9. &nbsp;&nbsp;&nbsp;&nbsp; AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON &nbsp;&nbsp;&nbsp;&nbsp; 0

10. &nbsp;&nbsp;&nbsp;&nbsp; CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES &nbsp;&nbsp;&nbsp;&nbsp; ☐

11. PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9 &nbsp;&nbsp;&nbsp;&nbsp; 0% (1)

12. &nbsp;&nbsp;&nbsp;&nbsp; TYPE OF REPORTING
PERSON &nbsp;&nbsp;&nbsp;&nbsp; PN

(1) The percent of class was calculated based on 122,083,226 shares of common stock issued and outstanding as of
August 12, 2022, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 15, 2022.

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CUSIP No. 018119107 SCHEDULE 13G Page 3 of 9 Pages

1. NAMES OF
REPORTING PERSONS &nbsp;&nbsp;&nbsp;&nbsp; Third Rock Ventures GP II, L.P.

2. CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP &nbsp;&nbsp;&nbsp;&nbsp; (a) ☐ (b) ☒

3. &nbsp;&nbsp;&nbsp;&nbsp; SEC USE ONLY

4. CITIZENSHIP OR PLACE OF
ORGANIZATION &nbsp;&nbsp;&nbsp;&nbsp; Delaware

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 5. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 6. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 7. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 8. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |

---

9. &nbsp;&nbsp;&nbsp;&nbsp; AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON &nbsp;&nbsp;&nbsp;&nbsp; 0

10. &nbsp;&nbsp;&nbsp;&nbsp; CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES &nbsp;&nbsp;&nbsp;&nbsp; ☐

11. PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9 &nbsp;&nbsp;&nbsp;&nbsp; 0% (1)

12. &nbsp;&nbsp;&nbsp;&nbsp; TYPE OF REPORTING
PERSON &nbsp;&nbsp;&nbsp;&nbsp; PN

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CUSIP No. 018119107 SCHEDULE 13G Page 4 of 9 Pages

1. NAMES OF
REPORTING PERSONS &nbsp;&nbsp;&nbsp;&nbsp; TRV GP II, LLC

2. CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP &nbsp;&nbsp;&nbsp;&nbsp; (a) ☐ (b) ☒

3. &nbsp;&nbsp;&nbsp;&nbsp; SEC USE ONLY

4. CITIZENSHIP OR PLACE OF
ORGANIZATION &nbsp;&nbsp;&nbsp;&nbsp; Delaware

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 5. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 6. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 7. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 8. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |

---

9. &nbsp;&nbsp;&nbsp;&nbsp; AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON &nbsp;&nbsp;&nbsp;&nbsp; 0

10. &nbsp;&nbsp;&nbsp;&nbsp; CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES &nbsp;&nbsp;&nbsp;&nbsp; ☐

11. PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9 &nbsp;&nbsp;&nbsp;&nbsp; 0% (1)

12. &nbsp;&nbsp;&nbsp;&nbsp; TYPE OF REPORTING
PERSON &nbsp;&nbsp;&nbsp;&nbsp; OO

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CUSIP No. 018119107 SCHEDULE 13G Page 5 of 9 Pages

1. NAMES OF
REPORTING PERSONS &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Robert I. Tepper

2. CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP &nbsp;&nbsp;&nbsp;&nbsp; (a) ☐ (b) ☒

3. &nbsp;&nbsp;&nbsp;&nbsp; SEC USE ONLY

4. CITIZENSHIP OR PLACE OF
ORGANIZATION &nbsp;&nbsp;&nbsp;&nbsp; United
States

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 5. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 6. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 7. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 8. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |

---

9. &nbsp;&nbsp;&nbsp;&nbsp; AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON &nbsp;&nbsp;&nbsp;&nbsp; 0

10. &nbsp;&nbsp;&nbsp;&nbsp; CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES &nbsp;&nbsp;&nbsp;&nbsp; ☐

11. PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW 9 &nbsp;&nbsp;&nbsp;&nbsp; 0%(1)

12. &nbsp;&nbsp;&nbsp;&nbsp; TYPE OF REPORTING
PERSON &nbsp;&nbsp;&nbsp;&nbsp; IN

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CUSIP No. 018119107 SCHEDULE 13G Page 6 of 9 Pages

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| | | |
|:---|:---|:---|
| **Item 1.** |  | **Issuer** |
|  | (a) | Name of Issuer: |
|  |  | Allena Pharmaceuticals, Inc (the "**Issuer**") |
|  | (b) | Address of Issuer's Principal Executive Offices: |
|  |  | One Newton Executive Park, Suite 202 Newton, Massachusetts 02462 |
| **Item 2.** |  | **Filing Person** |
|  | (a)–(c) | Name of Persons Filing; Address; Citizenship: |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i) Third Rock Ventures II, L.P. ("**TRV II**");<br>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(ii) Third Rock Ventures GP II, L.P. ("**TRV GP II**"), which is the sole general partner of TRV II;<br>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(iii) TRV GP II, LLC ("**TRV GP II LLC**"), which is the sole general partner of TRV GP II; and<br>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(iv) Robert I. Tepper ("**Tepper**," and collectively with TRV II, TRV GP II, TRV GP II LLC, the "**Reporting Persons**"), the managing member of TRV GP II LLC.<br>The address of the principal business office of each of the Reporting Persons is Third Rock Ventures, LLC, 201 Brookline Ave, Suite 1401, Boston, MA 02215.<br>Each of TRV II and TRV GP II is a Delaware limited partnership. TRV GP II LLC is a Delaware limited liability company. Tepper is a United States citizen. |

---

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CUSIP No. 018119107 SCHEDULE 13G Page 7 of 9 Pages

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| | | |
|:---|:---|:---|
|  | (d) | Title of Class of Securities: |
|  |  | Common stock, $0.001 par value per share, (the "**Common Stock**") |
|  | (e) | CUSIP Number:<br> 018119107 |
| **Item 3.** |  | **If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:** |

---

---

| | | |
|:---|:---|:---|
| (a) | ☐ | Broker or dealer registered under Section 15 of the Act; |
| (b) | ☐ | Bank as defined in Section 3(a)(6) of the Act; |
| (c) | ☐ | Insurance company as defined in Section 3(a)(19) of the Act; |
| (d) | ☐ | Investment company registered under Section 8 of the Investment Company Act of 1940; |
| (e) | ☐ | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
| (f) | ☐ | An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
| (g) | ☐ | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
| (h) | ☐ | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| (i) | ☐ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; |
| (j) | ☐ | A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J); |
| (k) | ☐ | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: |

---

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| | |
|:---|:---|
| **Item 4.** | **Ownership.** |
|  | (a) and (b) Amount beneficially owned: |
|  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(i) Each of the Reporting Persons own 0 shares of Common Stock. |
|  | (c) Number of shares as to which such person has: |

---

---

| | | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | **Number of Shares of Common Stock** | **Number of Shares of Common Stock** | **Number of Shares of Common Stock** | **Number of Shares of Common Stock** | **Number of Shares of Common Stock** | **Number of Shares of Common Stock** | **Number of Shares of Common Stock** | **Number of Shares of Common Stock** |
| **Reporting Person** | (i) | (i) | (ii) | (ii) | (iii) | (iii) | (iv) | (iv) |
|  TRV II |  | 0 |  | 0 |  | 0 |  | 0 |
|  TRV GP II |  | 0 |  | 0 |  | 0 |  | 0 |
|  TRV GP II LLC |  | 0 |  | 0 |  | 0 |  | 0 |
|  Tepper |  | 0 |  | 0 |  | 0 |  | 0 |

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(i) Sole power to vote or direct the vote

(ii) Shared power to vote or to direct the vote

(iii) Sole power to dispose or to direct the disposition of

(iv) Shared power to dispose or to direct the disposition of

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CUSIP No. 018119107 SCHEDULE 13G Page 8 of 9 Pages

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| | |
|:---|:---|
|  | The percent of class was calculated based on 122,083,226 shares of common stock issued and outstanding as of August 12, 2022, as disclosed in the Issuer's Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 15, 2022. |
| **Item 5.** | **Ownership of Five Percent or Less of a Class.**<br>If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☒. |
| **Item 6.** | **Ownership of More than Five Percent on Behalf of Another Person.**<br>Not applicable. |
| **Item 7.** | **Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.**<br>Not applicable. |
| **Item 8.** | **Identification and Classification of Members of the Group.**<br>Not applicable. |
| **Item 9.** | **Notice of Dissolution of Group.**<br>Not applicable. |
| **Item 10.** | **Certification.**<br>Not applicable. |

---

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CUSIP No. 018119107 SCHEDULE 13G Page 9 of 9 Pages

**SIGNATURE** 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: February 14, 2023

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| | |
|:---|:---|
| **THIRD ROCK VENTURES II, L.P.** | **THIRD ROCK VENTURES II, L.P.** |
| By: THIRD ROCK VENTURES GP II, L.P., | By: THIRD ROCK VENTURES GP II, L.P., |
| General Partner | General Partner |
| **By: TRV GP II, LLC,** | **By: TRV GP II, LLC,** |
| General Partner | General Partner |
| By: | /s/ Kevin Gillis |
| Kevin Gillis | Kevin Gillis |
| Chief Operating Officer | Chief Operating Officer |
| **THIRD ROCK VENTURES GP II, L.P.** | **THIRD ROCK VENTURES GP II, L.P.** |
| By: TRV GP II, LLC, | By: TRV GP II, LLC, |
| General Partner | General Partner |
| By: | /s/ Kevin Gillis |
| Kevin Gillis | Kevin Gillis |
| Chief Operating Officer | Chief Operating Officer |
| **TRV GP II, LLC** | **TRV GP II, LLC** |
| By: | /s/ Kevin Gillis |
| Kevin Gillis | Kevin Gillis |
| Chief Operating Officer | Chief Operating Officer |
| **ROBERT I. TEPPER** | **ROBERT I. TEPPER** |
| /s/ Kevin Gillis, As attorney-in-fact | /s/ Kevin Gillis, As attorney-in-fact |
| Robert I. Tepper | Robert I. Tepper |

---