Clene Inc. — Director's Dealing 2021

Jan 8, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Clene Inc. (CLNN)
CIK: 0001822791
Period of Report: 2020-12-30

Reporting Person: Mosca Alison (N/A)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	32393.00	Direct
Common Stock	1429945.00	Indirect
Common Stock	2961670.00	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Incentive Stock Option (right to buy)	$2.3754		Common Stock (39593.00)		Direct
Warrant	$1.97	2023-04-04	Common Stock (744011.00)		Indirect
Warrant	$1.97	2023-04-08	Common Stock (160221.00)		Indirect

Footnotes

F1: The securities are owned by the Robert C. Gay 1998 Family Trust. Ms. Mosca is the trustee of the Robert C. Gay 1998 Family Trust. The shares owned by the Robert C. Gay 1998 Family Trust may also be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca has no pecuniary or profits interest in the shares held by the Robert C. Gay 1998 Family Trust.

F2: The securities are owned by Kensington Investments, L.P. Ms. Mosca is the chief executive officer of Kensington Investments, L.P. The shares owned by Kensington Investments may also be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all shares owned by Kensington Investments, L.P. for which she does not have a pecuniary or profits interest.

F3: Awarded under the Clene Nanomedicine, Inc. 2014 Stock Plan on August 26, 2019 and currently exercisable. The options expire 10 years from the date of the grant.

F4: Warrant to purchase Series A Preferred Stock, issued by Clene Nanomedicine, LLC to Kensington Investments, L.P., dated April 4, 2013, and currently exercisable for shares of Clene Inc. common stock.

F5: Currently exercisable.

F6: Warrant to purchase Series D Preferred Stock, issued by Clene Nanomedicine, LLC to Kensington Investments, L.P., dated April 8, 2013, and currently exercisable for shares of Clene Inc. common stock.