AI assistant
Clene Inc. — Director's Dealing 2021
Jan 8, 2021
34487_dirs_2021-01-08_ff076379-df49-46c7-a987-af7b14d9bfc7.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Clene Inc. (CLNN)
CIK: 0001822791
Period of Report: 2020-12-03
Reporting Person: AK Holding Company, LC (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 5135676 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Senior Warrant to Purchase Common Stock | $1.97 | 2023-04-08 | Common Stock (160121) | Direct | |
| Series A Warrant to Purchase Common Stock | $1.97 | 2023-04-04 | Common Stock (864121) | Direct |
Footnotes
F1: The securities owned by AK Holding Company, LC (including the Warrant and Senior Warrant described below) may also be deemed to be owned by Alan Ashton and Karen Ashton. Mr. and Mrs. Ashton each own 50% of the membership interests in AK Holding Company, LC.
F2: Senior Warrant ("Senior Warrant") to purchase Series D Preferred Stock, issued by Clene Nano-Medicine Inc. to AK Holding Company, LC dated April 8, 2013 and currently exercisable for shares of Clene Inc. The Senior Warrant owned by AK Holding Company, LC may also be deemed to be owned by Alan Ashton and Karen Ashton. Mr. and Mrs. Ashton each own 50% of the membership interests in AK Holding Company, LC.
F3: Warrant ("Warrant") to purchase Series A Preferred Stock, such warrant issued by Clene Nanomedicine, Inc. to AK Holding Company, LC on April 4, 2013 and currently exercisable for Clene Inc. common stock. The Warrant may also be deemed to be owned by Alan Ashton and Karen Ashton. Mr. and Mrs. Ashton each own 50% of the membership interests in AK Holding Company, LC.