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Clene Inc. — Director's Dealing 2022
Jan 20, 2022
34487_dirs_2022-01-20_d02302d6-a80b-4710-ae1c-431d60047fd8.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Clene Inc. (CLNN)
CIK: 0001822791
Period of Report: 2021-10-01
Reporting Person: Mosca Alison (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-10-01 | Common Stock | X | 15000 | $0.01 | Acquired | 3006670 | Indirect |
| 2021-10-01 | Common Stock | X | 10000 | $0.01 | Acquired | 1459945 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-10-01 | Warrants (Right to buy) | $0.01 | X | 15000 | Disposed | 2021-12-30 | Common Stock (15000) | Indirect |
| 2021-10-01 | Warrants (Right to buy) | $0.01 | X | 10000 | Disposed | 2021-12-30 | Common Stock (10000) | Indirect |
Footnotes
F1: The securities are owned by Kensington Investments, L.P. ("KI"). Ms. Mosca is the president of Kensington Management LLC, which is the general partner of KI, and also serves as the trustee of the Robert C. Gay Revocable Trust, which is the limited partner of KI. The securities owned by KI may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca disclaims all securities owned by KI, for which she does not have a pecuniary or profits interest.
F2: 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 securities owned by the Robert C. Gay 1998 Family Trust may be deemed to be beneficially owned by Ms. Mosca. Ms. Mosca has no pecuniary or profits interest in the securities held by the Robert C. Gay 1998 Family Trust.