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:
001-38268
ALLENA PHARMACEUTICALS, INC.
(Exact name of registrant as specified in its charter)
Delaware | 45-2729920 | |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) | |
One Newton Executive Park, Suite 202 Newton, Massachusetts | 02462 | |
(Address of principal executive offices) | (Zip Code) | |
(617) 467-4577 | ||
(Registrant’s telephone number, including area code) |
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol | Name of each exchange on which registered | ||
Common Stock, par value $0.001 per share | ALNA | The Nasdaq Global Select Market |
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ☒ No ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation
S-T
(§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ☒ No ☐Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule12b-2
of the Exchange Act.Large accelerated filer | ☐ | Accelerated filer | ☐ | |||
Non-accelerated filer | ☒ | Smaller reporting company | ☒ | |||
Emerging growth company | ☒ |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒
Indicate by check mark whether the registrant is a shell company (as defined in Rule
12b-2
of the Exchange Act). Yes ☐ No ☒As of August 6, 2021, the registrant had 80,140,728 shares of common stock, $0.001 par value per share, outstanding.
EXPLANATORY NOTE
Allena Pharmaceuticals, Inc. (the “Company”) is filing this Amendment No. 1 (the “Amendment”) on Form
10-Q/A
to amend its Quarterly Report on Form10-Q
for the quarter ended June 30, 2021, filed with the Securities and Exchange Commission on August 12, 2021 (the “Original10-Q”),
for the purpose of filing revised versions of Exhibits 31.1 and 31.2 filed with the Original10-Q.
The Company is filing revised exhibits solely in order to include in the certifications set forth in the Exhibits the language added to the introductory portion of paragraph 4 and the language of revised paragraph 4(b), which language was inadvertently omitted from the certifications when originally filed. The Amendment does not reflect events occurring after the date of the filing of the Original
10-Q
or modify or update any of the other disclosures contained therein in any way. Accordingly, the Amendment should be read in conjunction with the Original10-Q.
The Amendment consists solely of the preceding cover page, this explanatory note, the signature page and paragraphs 1, 2, 4 and 5 of each of the revised certifications filed as exhibits to the Amendment. Because no financial statements have been include in this Amendment, paragraph 3 of each of the certification set forth in the Exhibits has been omitted.1
Item 6. Exhibits
Furnish the exhibits required by Item 601 of Regulation
S-K
(§ 229.601 of this chapter).Exhibit Number | Description | |
31.1* | Certification of Principal Executive Officer pursuant to Exchange Act rules 13a-14 or 15d-14. | |
31.2* | Certification of Principal Financial Officer pursuant to Exchange Act rules 13a-14 or 15d-14. | |
104 | Cover Page Interactive Data File—the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. |
* | Filed herewith. |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
ALLENA PHARMACEUTICALS, INC. | ||||||
Date: November 12, 2021 | By: | /s/ Louis Brenner | ||||
Louis Brenner, M.D. Chief Executive Officer and Director (Principal Executive Officer) | ||||||
Date: November 12, 2021 | By: | /s/ Richard Katz | ||||
Richard Katz, M.D. Chief Financial Officer (Principal Financial and Accounting Officer) |
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